Polster Dan A - Judicial Watch · Polster, Dan A. U.S. Dist. Ct., ND Ohio 4. Title (Article Ill...
Transcript of Polster Dan A - Judicial Watch · Polster, Dan A. U.S. Dist. Ct., ND Ohio 4. Title (Article Ill...
ORGANIZATION/ENTITY
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t_ j -
3.
AO JO Rev. 112008
FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2008
I. Person Reporting (last name, first, middle initial) 2. Court or Organization
Polster, Dan A. U.S. Dist. Ct., ND Ohio
4. Title (Article Ill judges indicate active or senior status; Sa. Report Type (check appropriate type) magistrate judges indicate full- or part-time)
D Nomination, Date
U.S. District Judge--Active D Initial 0 Annual
Sb. D Amended Report
D Final
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. §§ 101-l l l)
3. Date of Report
03123/2009
6. Reporting Period
01/01/2008 to
12/31/2008
7. Chambers or Office Address 8. On the basis of the information contained in this Report and any modificattons pertaining thereto, it is, in my opinion, in compliance
United States District Judge with applicable laws and regulations.
!SB Carl B. Stokes U.S. Court Cleveland, Ohio 44133
Reviewing Officer Date
IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where )'OU have no reportable information. Sign on last page.
I. P 0 SJTJ 0 NS. (Reporting individual only; see pp. 9-13 of filing instructions.)
D NONE (No reportable positions.)
POSITION NAME OF
I. Lifetime Trustee
2. Lifetime Trustee Siegal College of Jewish Studies
3. Trustee Jewish Education Center of Cleveland
5. Board of Directors Federal Bar Assn (Cleveland chapter)
6. Board of Directors Mt. Sinai Health Foundation
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of jzling instructions.)
D NONE (No reportable agreements.)
PARTIES AND TERMS
,_: '
r···-.l C" - - -: ---: .
;• ;
y
Q 0 ..9
r r\ CJ
I. 1998 U.S. Civil Service Retirement System (CSRS) vested pension for Dept. of Justice service (1976-1998); to be paid upon retirement from judicial service
2.
SOURCE
SOURCE ANP TYPE
(yours, not spouse's)
$2,600.00
FINANCIAL DISCLOSURE REPORT
Page 2of14
Name of Person Reporting
Po!Ster, Dan A.
Date of Report
0312312009
Ill. NON-INVESTMENT IN COME. (Reporting individual and spouse; see pp. 17-24 of filing instructions.)
A. Filer's Non-Investment Income
D NONE (No reportable non-investment income.)
AND TYPE INCOME
I. 2008 Park Synagogue (Stipend for teaching 10th grade Confirmation class)
2. 2008 Cleveland-Marshal School of Law (teaching course on Mediation) $1,200.00
3.
4.
B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
D NONE (No reportable non-investment income.)
I. 2008 Hahn, Loeser & Parks (law firm)
2.
3.
4.
IV. REIMBURSEMENTS - transportation, /odging,food, entertainment
(Includes those lo spouse and dependent children; see pp. 25-27 of filing instructions.)
D NONE (No reportable reimbursements.)
SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED
I. Business Valuation Resource s,LLC
October 1-3, 2008 Miami, Florida CLE Panelist transportation, lodging, food
2.
4.
SOURCE DESCRIPTION
DESCRIPTION
VALUE
VALUE CODE
FINANCIAL DISCLOSURE REPORT
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Name of Person Reporting
Polster, Dan A.
Date of Report
03/23/2009
V, GIFTS. (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
[Z] NONE (No reportable gifts.)
2.
3.
4.
5.
VI. LIABILITIES. (Includes those of spouse and dependent children; see pp. 32-33 ofjiling-in;tructions.)
[Z] NONE (No reportable liabilities.)
CREDITOR
I.
2.
3.
4.
5.
FINANCIAL DISCLOSURE REPORT
Page 4of14
Name of Person Reporting
Polster, Dan A.
Date of Report
03/23/2009
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; SU pp. 34-60 of filing instructions.)
0 NONE (No reportable income, assets, or transactions.)
A. B. c. D.
Description of Assets Income during Gross value at end of Transactions during reporting period
(including trust assets) reporting period reporting period
(I) (2) (I) (2) (I) (2) (3) (4) (5) Place " (X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of
exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, Month - Code 2 Code I buyer/seller (A-HJ or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
I. Money Market Funds (MLynch) A Interest J T
2. Oakmark Intl Fund A Dividend J T Sold 12/22 J A (part)
3. Baron Growth Fd A Dividend J T Sold 7/21 J B (part)
4. Hotchkis and Wiley Fd. A Dividend Sold 7/21 J A
5. Amer. Gr. Fd. of America A Dividend J T
6. Munder Midcap Core Fd. A Dividend J T Sold 12/22 J A (part)
7. Gartmore Small Cap Fd A Dividend Sold 12/22 J A
8. Alger Small Cap Growth A Dividend J T Sold 12122 J A (part)
9. Thornburg Intl Value Fd A Dividend J T
10. Eaton Vance Large Cap Fd A Dividend J T Sold 12/31 J A (part)
11. Nationwide Small Cap Fd A Dividend Sold 7/21 J A
12. Alabama Power Co. Pref. B Dividend K T Buy 2/21 K
13. GNM ?41107 bonds B Dividend K T Buy 11/28 K
14. CD Compass Bank A Dividend Buy 11/21 J
15. CD Compass Bank A Dividend Sold 11/28 J A
16. Blackrock Pfd Inc. Fd A Dividend J T Buy 11/21 J
17.
I. lncome Gain Codes: A ::::s 1.000 or less B =S! ,001 -$2,500 c :$2,501 - $5,000 D =$5,001 -$15,000 E =S 15,001 -S50,000
(See Columns Bl and 04) F =$50,001 - SI00,000 G =SIOO,OOl -Sl,000,000 HI =Sl,000,001 - $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 -$50,000 L =SS0,001 -Sl00,000 M =$ 100,001 - $250,000
(See Columns Cl and DJ) N =$250,001 -$500,000 0 =$500,001 -SI ,000,000 Pl =Sl,000,001 -S5,000,000 P2 = SS,000,001 -$25,000,000
P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000
3. Value Method Codes Q ==Appraisal R =Cost (Real Estate Only) S =Assessmenl T :::Cash Mark.et
(See Column C2) U =Book Value V =Other W=Estimated
B.
(2) (2)
19.
30.
33.
34.
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 5 of 14 Polster, Dan A. 03/23/2009
VII. INVESTMENTS and TRUSTS - income, va1ue, 1ransacnons r1nc1udes those of spouse and dependent children; see PP· 14-60 of filing ins1ructions.J
D NONE (No reportable income, assets, or transactions.)
A. c. D. Description of Assets Income during Gross value at end of Transactions during reponing period
(including trust assets) reponing period repolting period
(I) (2) (I) (I) (3) (4) (5) Place "(X)" after each asset
exempt from prior disclosure
Amount Code I
(A-H)
Type (e.g.,
div., rent,
or int.)
Value
Code 2
(J-P)
Value
Method
Code 3
(Q-W)
Type (e.g.,
buy, sell,
redemption)
18. Dreyfus Prem. Mun. Bd Fund c Dividend K T
Date Value Gain Identity of
Month - Code 2 Code I buyer/seller
Day (J-P) (A-H) (if private
transaction)
Putnam College Adv. Gr. Fd. A Dividend Sold 7/21 K A
-
20. Liberty Acom Tr Fd A Dividend J T
21. Chevron/Texaco A Dividend K T
22. Wayne cty Ohio Munic. Bonds B Interest K T
23. Hamilton County Sewer Bonds A Dividend J T Buy 8/19 J
24. Putnam Coll. Adv. Bal. Fd. A Dividend Sold 7/21 J A
25. DWS High Inc. Trust (formerlyKemper Hig A Dividend h Inc. Trust
26. Intel A Dividend J T
27. Parker Hannifin A Dividend J T
28. Precision Cast A Dividend Sold 5115 K D
29. Boeing Co. A Dividend Sold 8/19 J A
Petroleo Brasileiro-SA A Dividend Buy 5115 J
31. Petroleo-Brasileiro-SA A Dividend Sold 8/19 J A
32. Liberty Global Inc. A Dividend K T Buy 4/18 J
Rydell Rusell Top 50 A Dividend J T
Goldman Sachs Money Mkt A Dividend K T
I. Income Gain Codes: A =Sl,000 or Jess B =$1,001 -$2,500 C =$2,50 I - $5,000 D =S5,00J -$15,000 E =Sl5,001-S50,000
(See Columns Bl and 04) F =$50,001 -$100,000 G=SIOO,OOl -Sl,000,000 HI =Sl,000,001 - $5,000,000 H2 =More than $5.000,000
2. Value Codes l =Sl5,000 or Jess K=SIS,001-SSO,OOO L =SS0,001 -SI00,000 M =SI00,001 - $250,000 (See Columns Cl and DJ) N =$250,00 I -SS00,000 0 =SS00,001 - SI ,000,000 Pl =Sl,000,001 - S5,000,000 P2 =S'i,000,001 -S25,000,000
PJ =$25,000,001 - S50, 000,000 P4 =More than S'i0,000,000 3. Value Method Codes Q :::::A ppraisal R =Cost (Real Estate Only) S=Assessment T=Cash Market
(See Column C2) U =Book Value V =Other W=Estimated
L
FINANCIAL DISCLOSURE REPORT
Page 6of14
Name of Person Reporting
Polster·, Dan A.
Date of Report
03/23/2009
VII. INVESTMENTS and TRUSTS income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP· 14-60 of filing ins1ructions.J -
D NONE (No reportable income, assets, or transactions.)
A. B. c. D.
Description of Assets Income during Gross value at end of Transactions during reporting period
(including trust assets) reporting period reporting period
(I) (2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of
exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, Month- Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
35. Henderson Intl Opp Fd A Dividend J T
36. Costco Wholesale Corp A Dividend- J T Buy 5115 J
37. Vanguard Mid-Cap Fd A Dividend J T Buy_ 8/19 J
38.
39. Tenneco common A Dividend J T
40. Alltel common A Dividend Sold 11/21 J A
41. Embarq (spinoff) A Dividend J T
42. Transistor Devices common A Dividend L w
43. Transistor Devices common A Dividend w
44. Japan Fund A Dividend J T
45. Vanguard Gund A Dividend J T
46. Unicom (formerly Comm. Ed. Preferred) A Dividend J T
47. Roulston Growth Fd A Dividend J T
48. National City Bank-check. A Interest J T
49. National City Bank-check A Interest J T
50. National City Bank--CD A Interest J T
51. National City Bank--CD A Interest J T
I. Income Gain Codes: A =S 1,000 or less B =St,OOt • $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000 E =St5.00I. $50,000
(See Columns BI and D4) F=550,001·5100,000 G =5100,00t • $1,000,000 HI •Sl,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 Columns Cl and DJ) N=$250,00 I - $500,000 O=S500,00t - St,000,000 PI =$1,000,00t - $5,000,000 P2 =$5,000,001 - $25,000,000
Pl =$25,000,001 • $50, 000,000 P4 =More than $50,000,000
3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T=Cash Market
(See Column C2) U =Book Value V=Other W =Estimated
FINANCIAL DISCLOSURE REPORT
Page 7of14
Name of Person Reporting
Polster, Dan A.
Date of Report
03123/2009
VII. INVESTMENTS and TR u STS income, value, transactions (Includes those of spouse and dependent children; see PP· 34-60 of filing instructions.) -
0 NONE (No reportable income, assets, or transactions.)
A. B. c. D.
Description of Assets Income during Gross value at end of Transactions during reporting period
(including trust assets) reporting period reporting period
(1) (2) (1) (2) (1) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of
exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, Month - Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J.P) (A-H) (if private
(Q-W) transaction)
52. Ohio Savings - savings A Interest J T
53. IRA-Ohio Savings Bank (mut. fd.) B Dividend K T
54. IRA-Ohio Savings Bank (CD) B Interest K T
55. IRA-Prudential Equity Fund c Dividend K T
56. IRA-Prudential Equity Fd. c Dividend K T
57. 40 I (K) prof. managed A Dividend N T
58. HR I 0 prof. managed A Dividend N T
59.
60. Money Market (MLynch) A· Interest J T
61. Transistor Devices common A Dividend L w
62. Gabelli Utilities Fd A Dividend J T Buy 7/21 J (add'I)
63. ML Global Allocation Fd I A Dividend Sold 7/21 J A .
64. Blackrock Global Alloc Fd A Dividend K T Buy 7/21 J (add'I)
65. American Gr. Fd of America A Dividend J T
66. MFS Intl New Disc Fd A Dividend J T Buy 7/21 J (add'I)
67. Wells Fargo Govt Fd A Dividend J T Buy 2/07 J
68. State of Israel Bond A Interest J T
I. Income Gain Codes: A =Sl,000 or les s B =s1.001- s2.5oo C =S2,501 - S5,000 O=S5,00l-Sl5,000 E =Sl5,00I -S50,000
(See Columns Bl a nd 04) F =S50,00I - SI00,000 G =$100,001 -Sl,000,000 HI =Sl,000,001 - S5,000,000 H2 =More than $5,000,000
2. Value Codes J =S 15,000 or less K =SIS,001 -SS0,000 L =$50,001 -Sl00,000 M =SI00,001 - S2SO,OOO
(See Columns Cl a nd 03) N =S250,00 I -S500,000 0 =S500,00 I -S 1,000,000 Pl =Sl,000,001 -SS,000,000 P2 =S5,000,00I -S25,000,000
P3 =$25,000,001 -SS0,000,000 P4 =More than $50,000,000
3. Value Method Code s Q =Appraisal R =Cost {Real Estate Only) S =Assessment T =Ca sh Market
{See Column C2) U =Book Value V=Other W =Estimated
FINANCIAL DISCLOSURE REPORT
Page 8of14
Name or Person Reporting
Polster, Dan A.
Date or Report
03/23/2009
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; See pp. 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
A. B. c. D.
Description of Assets Income during Gross value at end of Transactions during reporting period
(including trust assets) reporting period reporting period
(I) (2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of
exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, Month - Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
69. Ford common A Dividend K T
70. Visteon (Ford spinoff) A Dividend J T
71. Citigroup (acq. Ford spinoff) A Dividend J T
72. Unicom (form. Comm. Ed) A Dividend J T
73. Warburg Pincus Growth A Dividend J T
74.
75. Trust•• (lines 78-141) E Int./Div. 0 T
76. State oflsrael Bond
77. Tenneco common
78. Pactiv Corp
79. JPMorgan Chase
80. Sprint Corp
81. M.Lynch Money Market
82. U.S. GNM bonds
83. Alltel! common Sold 11/21 J A
84. Ampal Israel Preferred
85. Ind. Dev. Bank oflsrael Pref.
I. Income Gain Codes: A =S 1,000 or less B =Sl ,001 -$2,500 C =S2,50 I -S5,000 0 =S5,00J -Sl5,000 E =Sl5,00I • $50,000
(See Columns BI and 04) F =S50,00J-SJ00,000 G =SJ00,001 -SJ,000,000 HI =Sl,000,001-$5,000,000 H2 =More than $5,000,000
2. Value Codes J =SJ5,000 or less K =Sl5,00I -S50,000 L =SS0,001 - SI00,000 M=SIOO,OOl -S250,000
(See Columns CJ and 03) N =S250,00J -$500,000 0 =$500,001 -SJ,000,000 Pl =Sl,000,001 - $5,000,000 P2 =$5,000,001 -$25,000,000
P3 =S25,000,00J - $50,000,000 P4 =More than $50,000,000
3. Value Mclhod Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessmenl T =Cash Market
{See Column C2) U =Book Value v =Other W =Estimated
A. c. D.
92.
93.
94.
95.
96.
97.
98.
99.
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 9of14 Polster, Dan A. 03/23/2009
VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children; see PP· 14-60 of filing instructions.)
0 NONE (No reportable income, assets, or transactions.)
B.
Description of Assets Income during Gross value at end of Transactions during reporting period
(including trust assets) reporting period reporting period
(I) (4)(2) (3)(I) (2) (I) (2) (5) Place "(X)" after each asset Amount Type (e.g., Value Value
exempt from prior disclosure div., rent, Code I Code 2 Method (A-H) or int.) Code 3
(Q-W) (J-P)
86. Amer New Persp Fd
S7. Amer Inc. Fd of Amer.
88. American Washington Mut Fd
89. Calamos Growth Fd
90. Oakmark Intl Fund
91. Hotchkis and Wiley Smallcap
Type (e.g., Date Value Gain Identity of
buy, sell, Month - Code 2 Code I buyer/seller
redemption) Day (J-P) (A-H) (if private
transaction)
Buy 7/21 J (add'I)
Buy 7/21 J (add'!)
Buy 7/21 J (add'l)
Sold 7/21 J A
Sold 7/21 J A (part)
Sold 7/21 J A
Baron Growth Fd Sold 7/21 J A (part)
Amer. Growth Fd of America Buy 7/21 J (add'l)
CD Treasury Bank NA
Hartford Floating Rt Fd
CD Compass Bank Buy 3/21 K
CD Co pass Bank Sold 11/21 K A
GNM P411077 Bonds Buy 12/18 K
Georgia Power Co. Buy 2/21 J
100.
101. MoneyFund(JanneyAdv)
102. lmmunogen Inc. Sold 8/14 K D (part)
1. Income Gain Codes: A =S 1,000 or Jess B =Sl,001 -$2,500 C =$2,501 -S5,000 0 =$5,001 -$15,000 E=Sl5,00l -S50,000
(See Columns BI and 04) F =S50,00I - SI00,000 G =SIOO.OOl -Sl,000,000 HI =Sl,000,001-S5,000,000 H2 =More than S5,000,000
2. Value Codes J =SI 5,000 or less K =SIS,001 - $50, 000 L =$50,001 -$100,000 M =SI00,001 -$250,000
(See Columns Cl and 03) N =$250,00 I -$500,000 O =S500,00I -SJ,000,000 Pl =Sl,000,001 - $5,000,000 P2 =SS.000,001 - $25,000,000
P3 =$25,000,001 -S50,000,000 P4 =More than $50,000,000
3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market
(See Column C2) U =Book Value V =Other W =Estimated
c.
Name or Person Reporting Date or Report FINANCIAL DISCLOSURE REPORT
Page 10of14 Polster, Dan A. 03/23/2009
VII. INVESTMENTS and TRUSTS - income, va1ue, 1ransactions <1nc1udes those of spouse and dependent children; see PP· 34-60 of filing ins1ruc1ions.J
0 NONE (No reportable income, assets, or transactions.)
A. B. D. Description of Assets Income during Gross value at end of Transactions during reporting period
(including trust assets) reporting period reporting period
Place "(X)" after each asset
exempt from prior disclosure
103. lmmunogen Inc. Sold 9/26 J A (part)
(I) (2) (I) (2) (I) (2) (3) (4) (5) Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, Month - Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
104. Epix Pharmaceuticals
105. Enbridge Energy Mgt LLC
106. Ibis Technologies Corp
107. ASV Inc Sold 2/27 J B
108. Female Health Co. Sold March K c
109. Trailer Bridge Inc.
110. Accuray Corp. Buy 8/14 L
!IL Cogdell Spencer Inc. Buy 5123 K
112. Nicholas Financial Inc. Buy 2/29 K
I 13.
114. Money Market (Wachovia)
115. Laclede Gas common
116. Nuveen Ohio Munic. Fd
117. Davis NY Venture Fd
118. Eaton Vance Tax Managed Gr. Fd (formerly Eat. Vance Marath.
119. Cedar Fair
I. Income Gain Codes: A :S 1,000 or less B =S 1,00 I - S2.500 C =S2.501 - S5,000 D =$5,001 -$15,000 E =SI 5,001 -S50,000
(See Columns BI and 04) F =S50,00I -SI00,000 G =S!00,001 -Sl,000,000 HI =St,000.001 - s5,ooo.ooo H2 =More than S5,000.000
2. Value Codes J =$I 5,000 or less K =$15,001 -$50,000 L =S50,00I -$100,000 M =$100,001 -$250,000
(See Columns Cl and DJ) N =S250,00 I - $500,000 0=$500,001-Sl,000,000 Pl =Sl,000,001-$5,000,000 P2 = $5,000,001 - $25,000,000
PJ =$25,000,001 • $50,000,000 P4 =More than S50.000,000
3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessmenl T =Cash Market
(See Column C2) U =Book Value V =Other W =Estimated
B.
FINANCIAL DISCLOSURE REPORT
Page 11 of 14
Name of Person Reporting
Polster, Dan A.
Date of Report
03/23/2009
VII. INVESTMENTS and TRUSTS - income, value, transactions rrncludes those of spouse and dependent children: see PP· 14-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
A. Description of Assets
(including trust assets)
Place "(X)" af\er each asset
exempt from prior disclosure
120. American Express Co.
121. Chevron/Texaco
122. XTO Energy
123. Franklin, Ohio Munic. Bond
124. Ameriprise Financial (spinoff from America n Express)
125. Hewlett-Packard
126. Goldman Sachs Money Market
127. Illinois Tool Works
128. Henderson Intl Opp.
129. Liberty Global Inc.
130. Streettracks Dow Jones
131. Nustar Energy LLP (formerly Valero LP)
132. Petroleo Brasiliero
133. Petroleo Brasiliero
134. Emerson Electric Co.
135. Costco Wholesale Corp
136. Vanguard Mid-Cap Fd
I. Income Gain Codes: A =S 1,000 or less
(Sec Columns BI and 04) F =S50,00t -SI00,000
2. Value Codes J =$ 15,000 or less
(Sec Columns Ct and DJ) N =$250,001 - S500,000
PJ =S25,000,00I • S50,000,000
3. Value Method Codes Q =Appraisal
(Sec Column C2) U =Book Value
c.
Income during Gross value at end of
reporting period reporting period
(I) (2) (I)
Amount Type(e.g., Value Code I div., rent, Code2 (A-H) or int.) (J-P)
B =Sl,001 - U,500
G =$100,001 - Sl,000,000
K =Sl5,001 - $50,000 0 =$500,001 -SI ,000,000
R =Cost (Real Estate Only)
V =Other
(2 ) (I)
Value Type(e.g.,
Method buy, sell,
Code 3 redemption)
(Q-W)
Sold (part)
Sold
Sold
Sold
Sold
Buy
Sold
Buy
Buy
Buy
C =S2,50 I • S5,000
HI =Sl,000,001 • $5,000,000
L =$50,001 • SI00,000 Pl =Sl,000,001 -SS,000,000
P4 =More than $50,000,000
S =Assessment
W =Estimated
D.
Transactions during reporting period
(2) (3) (4) Date Value Gain
Month- Code2 Code I
Day (J-P) (A-H)
5115 K E
-
8/19 J B
8/19 K A
12/22 J A
8119 J A
5115 K
12/22 J A
5/15 J
5115 K
8/19 K
D =SS,001 -StS,000
H2 =More than $5,000,000
M =SI00,001 -$250,000
P2 =S5,000,001 • $25,000,000
T =Cash Market
(5) Identity of
buyer/seller
(if private
trans action)
E =$15,001 • SS0,000
. .
A.
(1) (2)
D.
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 12of14 Polster, Dan A. 0312312009
VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those of spouse and dependent children; see PP· 14-60 of filing instructions.) -
D NONE (No reportable income, assets, or transactions.)
B. c.
Income during Gross value at end of Transactions during reporting period Description of Assets
(including trust assets) reporting period reporting period
(I) (2)
Place "(X)" after each asset Amount Type (e.g.,
exempt from prior disclosure Code 1 div., rent, (A·H) or int.)
(I) (2) (3) (4) (5) Value Value
Code 2 Method
Code 3
(Q·W) (J.P)
Type (e.g., buy, sell,
redemption)
Date Value Gain Identity of
Month· Code 2 Code 1 buyer/seller
Day (J-P) (A·H) (if private transaction)
137. Cuyahoga Cty Cap lmpt Bond Buy 8/19 K
138. Embarq. (spinoff)
139.
140.
141.
142.
143.
144.
145.
146.
147.
148.
149.
150.
I. Income Gain Codes: A =Sl.000 or less B =Sl,001 • S2,500 C =$2,501 • $5,000 D=S5,00I • Sl5,000 E=$15,001 • S50,000
G =SI00,001 • Sl,000,000 HI =Sl,000,001 • $5,000,000 H2 =More than $5,000,000 (Sec Columns Bl and 04) F =$50,001 • $100,000
2. Va Jue Codes J=S 15,000 or less K =Sll,001 • Sl0,000 L =$50,001 • SI00,000 M=SI00,001 • $250,000
(Sec Columns Cl and DJ) N =$250,00 I • S500,000 0 =$500,00 I • s: ,000,000 Pl =Sl,000,001 • S5,000,000 P2 =$5,000,001 - $25,000,000
PJ =$25,000,001 - $50,000,000 P4 =More than $50,000,000
3. Value Melhod Codes Q =Appraisal R =Cost (Real Esta te Only) S =Assessment T =Cash Market
(Sec Column C2) U =Book Value V=Othcr W=Estimated
FINANCIAL DISCLOSURE REPORT
Page 13of14
Name or Person Reporting
Polster, Dan A.
Date or Report
0312312009
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Jndicate parto/Report.)
FINANCIAL DISCLOSURE REPORT
Page 14 of i4
Name of Person Reporting Date of Report
Polster, Dan A. 03/23/2009
IX. CERTIFICATION.
I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.
I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)
FILING INSTRUCTIONS
Mail signed original and 3 additional copies to:
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544