Karen N Moore Financial Disclosure Report for 2009

8/3/2019 Karen N Moore Financial Disclosure Report for 2009

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l A o t o FINANCIAL DISCLOSURE REPOR T R e p o r t R e q u i r e d b y the E t h i c sin Government Act of 1978R e v . t/ 2 o ~ 0 FOR CALENDAR YEAR 2009 (5 ~.s .c .-1 . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r s t , m i d d l e i n i t i a l ) 2. C o u r t o r O r g a n i z a t i o n 3 . D a l e o f R e p o r t

M oore , Ka re n N . U.S. Court of Appeals-6th Cir. 0 5 / 1 2 / 2 0 1 0

4 . T i t l e ( A r t i c l e 1 1 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 r e s ; 5a . 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 l y p e ) 6 . R e p o r t i n g 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 - o r p a r t - t i m e ) [ ] Nomina t ion , D a t e 0 1 / 0 1 / 2 0 0 9U .S . C i r cu i t Ju d ge - A ct iv e [] Initial [] A n n u a l [] Final to1 2 / 3 1 1 2 0 0 9f ib . [] Amend ed R ep or t7 . C h a m b e r s o r O f fi c e A d d r e s s 8. 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 i n e d I n t h is R e p o r t a n d a n ym o d i f i c a t io 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 compliance

Car l B . S to k es U .S . Co u r th o u se with applicable laws and regulations.801 W . Su p er io r A v e . , S te 21ACleveland, Ohio 44113 - 1 8 3 1 Reviewing Officer 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. Comp lete all parts,checking the NO NE 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 ~ t i . g individual only; see pp. 9-15 of filing i ...... tions.)NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY1,

2.

3.4.

5.

N O N E (No reportable agreements.)DAT E PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORT N~ of Person Reporting D a t e o f R e p o r tP a g e 2 o f 9 l~loore , Karen N. 05/I 2 / 2 0 1 0

I l l. NON -INVEST ME NT INCO ME. rRepo, ,~g individual andsp .... ; s e e p p . 1 7 - 2 4 o f f i li n g i n s t r u c t i o n s )A. F il e r s N o n - I n v e s t m e n t I n c o m e

N O N E ( N o reportable non-investment income,)DATE SOURCE AND TYPE I N C O _ M E(yours , not spouses )

1 .2.

3.4.

B. Spouses N on-Inves tment Income - If you were married during any portion of the reporting year, complete this section.( D o l l ar a m o u n t n o t r e q u i r e d e x c e p t . ] 8 r h o n o r a r i a . )

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

1 . 2009 Squ i r e San d er s & D emp sey2.3.

4.

I V . R E I M B U R S E M E N T S - -~ .~ .~o .~ , io ., 7odg~ g.ood, entertai .... t.(Includes those to spouse ond dependent children," see pp. 25-27 oJ~ling instruction.~.)

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

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDEDt. Universi ty of North Carol ina 2 /27 /09 - 2128 /09 Chapel Hilt , NC Moot Court Transporta t ion , food, lodgingSchool of Law

2. Univers i ty of Southern 3 / 5 1 0 9 - 3 t 7 1 0 9 L o s A n g e les , CA Mo o t Co u r t Transporta t ion , food, lodgingCalifornia3. Univers i ty of California , Los 3 /1 7 /0 9 - 3 / t 9 /0 9 L o s A n g e les , CA Mo o t Co u r t Transporta t ion , food, lodgingA n g eles Sch o o l o f L aw4. Boston Univers i ty School of 4 / 6 / 09 - 4 / 8 / 0 9 Boston IVIA Mo o t Co u r t Transporta t ion , food. lodgingLaw "5 . American C onsti tut ion 6 / I 9 / 09 - 6 / 21 /09 Washington, DC Mo o t Co u r t Transporta t ion , food, lodgingSociety


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PageFINANCIAL3 of 9 D I S C L O S U R E R E P O R T M o o re , K a r en N . Date of Report0

6. Co mel l U n iv er s i ty L aw 1 0 1 3 0 / 0 9 - 1 1 1 1 / 0 9 Ithaca , N Y M o ot C ou rt Transporta t ion, food, lodgingSch o o l


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FINANCIAL DISCLOSURE REPORT N ~ e o f P e r s o n R e p o r l i n gI Date of Reporta g e 4 o f 9 Moore, Karen N. 0 5 / 1 2 / 2 0 1 0

V . G I F T S . a , c ~ . d ~ , h o s e , o ~ . . . . . . ~ ~ , ,a ~ , , ~ u a ~ . ; ~ p ~ . ~ - ~ s o ~ . g i .. .. .. . ~ o ~ . ~N O N E (No reportable g~s0

~ DESCRIPTION1.

2 ~3.4.

5.

V I . L I A B I L I T I E S . (Include., those oJsp ........ d dependentchildren; seepp. 32-33 of 3qling instruction~)N O N E (No reportable liabilities.)

C R E D I T O R D E S C R I P T I O N V A L U E C QD E1.2.

3.

4.

5.


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FI N A N C I A L D I S C L O S U R E R E PO R T t] N .... f P . . . . . Reporting [ Date of Report

V I I. I N V E S T M E N T S a n d T R U S T S - i, co~e. ,,t ,~. , ~ o . . .. . d o . , a n c l u d e s t h o s e qspouse .nd depenant children; s e e w . 3 4 - 6 0 of f!lhtg instruetions.)N O N E (No reportable income, assets, or transactions.)

- A- ; B . ~ C. ~ D. ........................D e s c r i p t i o n o f A s s e ~ ~ 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 r a n s a c t i o n s d a r i n g r e p o ~ i n 8 p e r i o d(including ~t ~sets) [ repooing ~fiod of re~ing per iodPlace "(X)" a~er ez~h asset ~ A m o u o t T, ~ (e . g . , Value ~ V a l u e T~e(e .g . , Dale ~ Value Gainexempt ~m pdor disclosure C o d e 1 d i v . , r e n ~ C o d e 2 ~ M e t ho d b u y , s e l l , mm~ d~ ~ C~ e 2 ~ Code 1 ~ b u y e r ! s e l l e rt ( A - H ) E ~ r i n t . ) ( . I - P ) C ~ d e 3 . r e d e m p t i o n ) ~ ~ (J -P) ~ (A-H) (ifpdv~te~ ( Q - W } ~ I

1 . H unt ing lon Ba nk B Interest K T2, K e y B a ~ A Interest L T3. DWS Ca s h I nve s tme nt T rus t A Dividend J T4. D WS M an ag ed M u n ic ip a l B o n d s D Distribution M T5. Dre y fus M unic ipa l M one y M a rke t Fnnd A Dividend K T6. IRA T . Ro w e P r ice N ew Ho r iz o n s Fu n d A Distribution L T7. TIAA (Pension Fund) E Interest O T8. CREF (Pension Fund) N o n e O T9. Vanguard Wellesley Income Fund C D iv id e n d L T

(Retirement Fund)10 . Vaaguard Windsor Fund (Retirement Fund) B Di v i d e n d L T1 1. Va nguard Wellington Fund (Retirement 1 3 Dividend L TFund)1 2. Pension Plan---Dodge & Cox Stock Fund C lnt.iDiv. N T B uy J[See Pt VIlli

13 . Pension Plan--Baron Asset Fund [See Pt D I n t . , : D i v . O T Bu y JVIII] (now las t)14 . Squire Sanders & Dempsey Capital None M UContribution Account15 . Cash value gp. univ. l ife ins . , Mass. Mut D Interest N T Premium JL if e In s [See VI l l i16 . Pension Plan--Fideli ty Capita l Appreciat ion A l n t . t ~ D i v . N T B u y JK [See Pt VIlli17 . Pension Plan--Fidelity D ivers ified Int l K [ D Int. /Div. N T Bn y J[See Pt VIII] I

1. Ineomt~ Gain Codes: A = $1 , 000 o r l e s s B ~ $1 ,0 0 1 - $2 .5 0 0 C =$2 ,5 0 1 - $5 ,0 0 0 D = $5 , 001 - $15 , 090 E =$ 1 5 , 0 0 1 - $ 50 , 0 0 0

(Se e C o l u n m ~ C I a n d D3) N =$ 2 50 . 0 0 1 - $ 50 0 . 0 0 0 O = $ 5 0 0 , 0 0 1 - $ 1 , 0 0 0 . 0 0 0 P I ~ $ 1 , 0 0 0 , 0 0 1 - $ 5 , 0 0 0 , 0 0 0 P2 = $5 ,000~ 0 01 - $25 , 000 , 0003 . V a lu e M eth o d C o d ~ Q -A p p ra isa l R =Cost (Real Esta te Only) S = As s e s s m e n t T ~ C a s h M a r k e t(Se e C o l u m n C 2) U = B o o k Va l u e V =Othe~ W =Est imated


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FINANCIAL DISCLOSURE REPORT s . m . o f P e r . o . R e p o r . , ,gP a g e 6 o f 9 I ~ loo re , Ka re n N . 0 5 /1 2 /2 0 1 0V I I. I N V E S T M E N T S a n d T R U S T S . - i, ,. o m , , ~ a ~ , e , t ..... t i o n ~ (Includes those of spouse and dependent c h i l d r e n ; s e e p p . . $ 4 - 6 0 of f!ling i n s t r u c t i o n s . )~ N O N E (No reportable income, assets, or transactions.)

. . . . . .. . . . . . .. . . . . . .. . . . . . .. . . . . .. . . . . . .. . . . . . .. . . . . . .D e s c r i p t i o n A " o f A s s e t s ~ i i n c o m e d u r i n g . . . . . .. G r o s s v a l u e C " a t e n d ! 1 T r a n s a c t i o n s . . . . . . d u r l a g ~ r e p o r t i n g . . . . . . .. . . . . . .. . . . . . .. . . . . . p e r i o 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 s 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 ~ ..... basset A .... tI Type(e.g., ! Value t Valu= t Tvp(e.go, [Date [Value [Gain I d e n t i t y o fe x e m p t ~ r o m p r i o r d i s c lo s u r e C o d e I ! d i . . . . . a t, [ C ode 2 I M eth o d [ buy, sel l , [nmvdctD I C ode 2 I C ode ! b u y e r / s e l l e r(A-H) ] orim.) / ( J - P ) Code3 I r~emprien) | 0 - P ) I ( A - H ) (ifpdvate

lB. Huntingtan Bank A T~ 1 9 . Victory Tax-Free Money M arke t--Key Bank! A ! T

20 . National City Bank aka PNC Bank A I T2 I. T. Rowe Price Growth Stock A Dividend T22 . IRA American Funds--Capita l World A Dividend i TGrowth & I ncome CL A2 3 . I I :L,k American Funds--Grow th Fund of Am A Dividend TC L A2 4 . I1L, k American Funds-dnvestment Co of Art A D iv id en d TC L A2 5 . IRA American Fm~ds--Capita l World B D iv id en d T Bu y~ Growth & I ncome CL A

!!i"

IRA American Funds--Growth Fund of Am A Dividend TC L A IRA American Funds-dnveslment Co. of A Dividend TA m CL A Pension Plan--WFA Small Cap Val Inv B ln tJDiv. T Bu y

3 0 .

(now lns t) [See Pt VII I /2 9 . American Funds--Capital Income Builder D Dividend TFu n d CL A

Hartford Capita l Appreciat ion Fund CL A A I Dividend T3 1 . AAmerican Funds--Investment Co. of Am. C[ . A T3 2 . American Fands--Fnndamemal Inves tors FD A TC L A3 3 . AmericanFur~ds--Europacif ic Growth Fund A Dividend T

C L A3 4 . Hartford Capita l Appreciat ion Fund CL A A T

I . I n c o m e G a in C ~ :~ e s : A = $ 1 ,0 O O o r le s s B = $ 1 , 0 0 1 - $ 2 . 50 0 C = $ 2 . 5 0 t - $ 5 . 0 ~ 0 D = $ 5 , 0 0 1 - $ 1 5 . 0 00 E ~ $ 1 5 , 0 9 ! f ~ 5 0 1 00 ~ [2 . V a l u e C o d e s I = $ 1 5 . ~ 0 o r 1 ~ K = $ 1 5 ,0 0 1 - $ 5 0 ,~ L = $ 5 0 , 0 0 1 - $ i ~ , ~ 0 M = $ 1 0 0 ~ 1 - $ 2 ~ 0 0 0 0


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FINANCIAL DISCLOSURE REPORT ~ . . .. f P . . .. . R ~ o r t l n g D ~ t ~ o f ~ e p o r tP a g e 7 o f 9 M o o r e , K a r e n N . 0 5 /1 2 /2 0 1 0V I I . IN V E S T M E N T S a n d T R U S T S - i.co .....e , r . . . .. ., ,i o ~ a ~ c ~ . ~ ~ o ~ ~ , ~ . . .. .. ~ ~ , ~ . a ~ , ~ , ~ ; ~ ~ , ~ 4 - ~ o o , , ~ i ~ g i~ t i o ~ s . ,

N O N E (No reportable income, assets, or transactions.)A . s. : C. D.D e s c r i p t i o n o f A s s e t s I n c o m e d u ~ n g ~ G r o s s v a l u e a t ~ n d T r a n s B c f io n s d ~ i n g m p o ~ n g p ~ o d( including ~s t asse~) L repos ing pe r i~

]

o f r e ~ g p e r i o d(0 (2 ) (0 (~ O) r (~) ] (3) (4) (~ )P l a c e " ( X ) " a f f~ e a c h a s s e t A m o u n t T~ (e.g. , V a l u e V a l u e T y p e ( e . g ., Date I Value ~ Gain Identity o fe x e m p t f r o m p r i o r d i s c lo s u r e [ C~e I d i w , r e n t , C~e 2 Meth~ b u y , s e l l , m n ~ d ~" ] C~e 2 [ Cod e 1 b u y e r / s e l l e r( A - H ) orint.) ( J - P ) C o d e 3 r~empt ion) ~ (J-P) [ (A-H) ( i f p r i v a t e( Q - W ) t r a n s a c t i o n )

[ 35. Fed~ted Ohio M uni Incom e Fnnd CL A A Dividend K T36 . Growth Fund of Am CL A (X) [See P! VIII] A Dividend J T Spi nof f 05/08/09 J(from line 37)37 . G r o w th Fu n d o f A m CL A [See P t VI I I ] A Dividend K T Distr ibuted 05/08/09 J

(part)3 8 . New Perspective Fund CL A A Distribution K T3 9 . American Funds--Fundamental Inves tor~ FE A Dividend K TCLA40 . Pension Plan--MSIF Mid Cap G rfla I A lnt.iDiv. .I T Bu y J41 . Pension Plan--PIM Total Rt lnst E lnl . /Div. N T42 . Pension Plan--GS Mid Cap Val~e Inst [See A lnt./Div. J T B u y JPt VIII]43 .

4 4 .45 .

1. Income Gain Codes: A = $ 1 , ~ 1 0 o r l e s s B =$ t , 0 0 1 - $ 2 , 50 0 C = $2 , 5 01 - $5 . 000 D = $5 ,0 0 1 - $1 5 ,0 0 0 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 in g D a t e o f R e p o r tP a g e F I N A N C I A L 8 o f 9 D I S C L O S U R E R E P O R T M o o r e, K a r e n N . O S i l 2 /2 0 1 0

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a~d ic~,er ~,~ o/Re, or ,,~

PART Vll, Record 12, Column D(2) : Regular purchases made; to tal for year l is ted in Column D(3)PART V Il, Record 13, Column D(2) : Reg~flar purchases made; to tal for year l is ted in Column D(3)PART VII , Record 15, Column D(2): Premiums paid monthly; tota l for year l is ted in Column D(3)PART V II , Record 16 , Column D(2) : Regular purchases made; to tal for year l is ted in Column D(3)PART V II . Record 17 , Column D(2) : Regular purchases made; to tal for year l is ted in Column D(3)PART V II , Record 28, Column D(2) : Regular purcl~ases made; to tal for year l is ted in Column D(3)PART V II , Record 42, Column D(2) : Regular purchases made; to tal for year l is ted in Column D(3)PAR] VII . Record 36, On 5/8 /09 , Record 37 transferred part to Record 36PAR]" VII , Record 37, On 5/8 /0 9 . Record 37 transferred part ~o Record 36


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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 tFINANCIAL DISCLOSURE REPORT~ o o r ~ , ~ :a r e n N .a g e 9 o f 9 o ~ / l ~ / 2 O l O

IX. CERTIFICATION.I cert i fy that a l l informat ion given above (including informat ion perta ining to my spouse and minor or dependent chi ldren, i f auy) i saccurate , t rue , and complete to the best of my knowledge and bel ief , and that any informat ion not reported was wi thheld because i t met appl icable sta tntoryprovi s i ons pe rm i t t i ng non-d i sc l osu re .l further cert i fy that earned income from outside employment and honoraria and the acceptance of gi f ts which have been reported are inco mp l ian ce w i th th e p r o v is io n s o f 5 U .S .C . ap p . 5 01 e t . s eq . , 5 U .S .C. 7 35 3 , an d Ju d ic ia l Co n f e r en ce r eg u la t io n s .

S i g ,

N O T E : A N Y I N D I V I D U A L W H O K N O S V I N G L Y A N D W I L F U L L Y F A L S I FI E S O R FA L L S T O F I L E T H I S R E PO 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 M I N A L S A N C T I O N S ( 5 U . S . C . a p p . 1 0 4 )

F IL 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,Washington, D.C. 20544

Karen N Moore Financial Disclosure Report for 2009

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