Sarah E Barker Financial Disclosure Report for 2010

8/3/2019 Sarah E Barker Financial Disclosure Report for 2010

1/7

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. ]01-111)

1. Person R eport ing (last name, f i rst , middle ini t ia l )B A R K E R , S A R A H E .

2. Court or Organizat ionUS D is t ri c t Co ur t , SC , 1 ND

4. Title (Article Ill judges indicate active or senior status;magist rate judges indicate fu l l - or par t - t ime)

A C T I V E A R T I C L E I I I

: 7 . C h a m b e r s o r Off ice Address4 6 E A S T O H I O S T R E E T , R O O M 2 1 0I N D I A N A P O L I S , IN 4 6 2 0 4

3. Date of R e p o r t4/26/201

5a . Repor t Type (check appropr ia te type)] Nominat ion , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas is o f the in formation conta ined in th is Re por t and anymodif ica tions per ta in ing the re to , i t is, in my opin ion , in com pliance

6. Repor ting Per iod01/01/2010

to12/31/2010

with appl icab le l aws and regulat ions .

Reviewing Off icer Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followetL Complete all parts,check ing the NONE box for each par t where you have no repor table information. Sign on las tpage.

I . P O S I T I O N S . C R c p o r t l n g i n d i v i d n a l o n l y ; s c c p , . 9 - 1 3 of filing instructions.)~ N O N E ( N o reportable positions.)POSITION

1 . D i r e ct o r 20 01 - 20 1 0, I m m e d i a te - P a s t P r e s id e n t, a s o f 5 /2 01 0NAME OF ORGANIZATION/ENTITY

Federal Judges Associat ion2. B o ard o f A d v iso rs , 1 989-201 0 In d ian a U n ive rs ity --P u rd u e U n ive rs ity a t In d ia n ap o lis3. Direc to r 1 996-201 0 Clar ian Heal th Par tner s , Inc . ( non-pro f i t) . Name cha nged to IU H eal th 2 0 10

4. Direc to r 2003-201 0 Ind iana His to r ical S ocie ty5 ~ D irec to r/M em ber o f the Co rp o ra tio n , 2003-201 0 Metho d is t H ea lth G ro up In c. (n o n -p ro fit)6. B o ard o f A d v iso rs 2005-201 0 Sp ir it a n d P lace , C o m m u n ity F e stiva l

I I . A G R E E M E N T S . m e , o r t i ,U individual o n l y ; seepp. 14-16 of f ! ling instructions.)~] N O N E (No reportable agreements.)

D A T E PARTIES AND TERMS


2/7

FINANCIAL DISCLOSURE REPORTPage 2 o f 7

N a m e o f P e r s o n R e p o r t in gBARKER, SARAH E.

I I I . N O N - I N V E S T M E N T I N C O M E . (Repo.lng individual and spouse; seepp. 17-24 of filing instructions.)A. Filers Non-lnvestment Income

[~ (No reportable income.)ONE non-investmentDATE SOURCE AND TYPE

2.3.4.

Date of Report4/26/201 I

I N C O M E(yours , no t spouse s )

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - If you were ma rried during anyportion of the reporting year, complete this 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 . R E I M B U R S E M E N T S - transportation, lodging, food, en ter ta inmenL(Includes those to spouse and dependen t children; see pp. 25-27 o filling instructions.)~-] N O N E (No reportable reimb ursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED1 . Fed era! Jud g es A sso c ia t io n 05/22-23/2010 W a s h i n g t o n , D C Execu t ive and Boardm e e t i n g b e f o r e t h eQuadrenn ia l Meet ing

L o d g i n g a n d m e a l s

2. Federal Judges Associa t ion 09/15-16/2010 W ashington, DC C o n gr es si on a l r ec ep ti on T ra n sp o rt at io n , l od g in g a nd m e a ls3.4.5.


3/7


N a m e o f P e r so n R e p o r t i n gBARKER, SARAH E.

D a t e o f R e p o r t4/26/201 l

V . G I F T S . a n c l u d e s th o s e t o s p o u s e . h a l dependent children; see pp. 2 8 - 3 1 of filing instructions.)~ (No reportable gifts.)O N E

S O U R C E D E S C R IP T IO N1 . B e ck y an d Ch a rle s Ke n d a ll P e rso n a l h o sp ita li ty an d lo d g in g , F lo r id a2. Ind iana H is to r ical S ocie ty , L iv ing D i n n e r a n d p r o g r a mL e g e n d s A w a r d

VALUE$1,400.00$3,500.00

V I . L I A B I L I T IE S . a n c l u d e s those of spouse and dependent children; seepp. 32-33 of filing instructions.)~ N O N E ( N o reportab le liabilit ies.)

CREDITOR1. NONE.2. S E E " A D D I T IO N A L I N F O R M A T I O NF O R E X P L A N A TI O N S "3.4.5.

D E S C R I P T I O N VALUE CODE


4/7

FINANCIAL DISCLOSURE REPORTPage 4 of 7 Ia m e o f P e r s o n R e p o r t in gBARKER, SARAH E. D a t e o f R e p o r t4/26/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i ncome , va lue , t r ansac t i ons ( Inc ludes those of spouse a nd dependen t ch i ldr en; see pp. 34-60 of f ! l ing i ns t ruc t ions . )N O N E (_No reportable income, assets, or transactions.)

Description of Assets Income during(inc luding t rust assets) reporting period

(]) (2)Place "(X)" after each asset Amounl T y p e ( e . g .,

exempt from prior disclosure Code I div., rent,(A-H) o r i n t . )

Gross value at end Transac t ions during reporung per iodof reporting period(1) (2) (1 ) (2) (3) (4) (5 )

V alue Value T y p e ( e . g . , D a t e Val ue Gain Identity ofCode 2 Method buy. se l l , m m/dd /yy C od e 2 Code 1 buyer/seller

( J - P I Code 3 redemption) (J -P) (A -H ) (if private(Q-W) transaction)

2.

3.

4.

5.

6.

7.

8.

In d ian ap o l i s Po s t O ff ice Cred i t Un io n , B Interest L TA c c o u n tJ P M o r g a n C h a s e B a n k A Interest K TE uro Pac i f i c Gro wth Fun d , A mer ican Fun d s(MF) ( I RA)

D i v i d e n d KBlackRo ck Glo ba l A l lo ca t io n Fun d , In c . ,I RA (Mutua l Fund) D i v i d e n d LMerr i l l Lyn ch Re t i rem en t Reserves ( IRACash & Money Acct s ) I n t e r e s tCISCO Sys tems , In c . , Co mmo n Sto ck N o n e JJ P M o r g a n C h a s e B a n k A Interest KH art fo rd W ho le Li fe N o n e J

See exp lan a to ry n o te

9. F r a n k l in T e m p l e to n F o u n d i n g F u n d s(FFACX ) (MF)1 0 . G e n e r a l E l e c tr i c C o m m o n S t o c k

BA

D i v i d e n d KD i v i d e n d J

TT

1 1 . Iv y G lo b a l N a tu ra l R e so u r c e s A (M F ) ( IR A ) N o n e J T

1 2 . Iv y In t e r n a t i o n a l C o r e E q u i t y A ( MF ) ( IR A ) A D i v i d e n d K T

1 3 . W a d d e l l & R e e d A d v i s o r s C o r e I n v e s tm e n t A D i v i d e n d K TA ( M F ) ( I R A )

1 4 . W a d d e l l & R e e d A d v i s o r s S c i e n c e / A D i v i d e n d J TT ec h n o l o g y A ( M F) ( I R A )

1 5 . W a d d e l l & R e e d A d v i s o r s H i g h I n c o m e A B D i v i d e n d K T( M F ) ( I R A )

1 6 . I vy R ea l E s t a t e S ec ur i t i e s A ( M F) ( I R A ) A D i v i d e n d J T

1 7 . W a d d e l l & R e e d A d v i s o r s S m a l l C a p A N o n e K T( M F ) ( I R A )

1 : I n c o m e G a i n C o d e s : A =$I,000 or less B =$1,001 - $2,500(See Columns B 1 and D4) F =$50,001 - $1 00,000 G =$ 100,001 - $1,000,000

2. Value C o de s J =$15 .000 or less K =$15,001 - $50,000(Se e C o lum n s C I a n d D 3 ) N =$250.001 - $500,000 O = $500,001 - $1,000,000

P3 =$25,000,001 - $50,000,0003. Value Method . Codes Q = Appra isa l R. ~Cost (Real Es tate Only)(Se e C o lum n C 2) U =Bo o k Va lue V =O th e r

=$2,501 - $5,000 D =$5,001- $15,0001 =$i i000,00i - $5,000,000 H2 =More than $5,000,000=$50,001 - $1 00,000 M =$100.001 - $250.0001 =$ 1 ,000,001 - $5,000;000 P2 =$5~000,001 - $ 25,000,000

P4 =More than $50;000,000=As s e s s m e n t T =C a s h M a rk e t

W =Estimated

E =$15,001 - $5 0,000


5/7


N a m e o f P e r s o n R e p o r t in gBARKER, SARAH E.

D a t e o f R e p o r t4/26/2011

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, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)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 e t s( i nc l udi ng t r us t asse t s)

Place "(X)" after each assetexempt f rom prior disc losure

B . C. D.Income during Gross va lue a t end Transac t ions during report ing per iod

r e p o r t t n g p e r i o d of report ing per iod( 1 ) ( 2 ) (1) (2) (1 ) (2) (3) ~ (4) ( 5 )

A m ou n t Type (e.g., Value Value Type (e.g., D a t e Val ue Gain I d e n t i t y O fCode 1 div., rent, Code 2 Method buy, sell, m m/dd/yy Code 2 C o d e 1 buyer /se l l~(A-H) o r i n t . ) ( J - P ) C o d +3 redemption) (J-P) (A-H) ( i~private(Q-W) t r a n s a c t i o n )

1 8 .

1 9 .

W a d d e l l & R e e d A d v i s o r s A s s e t S t r a te g y A A( M F ) ( I R A ) D i v i d e n d K TW adde l l & Reed Advisors Governm entSecuri t ies A (M F) (IRA) D i v i d e n d K T

1. Incom e G ain C odes: A =$1 ,000 or less B =$1,001- $2t500(Se e C o lum n s B I a n d D 4) F =$50,001 - $100,000 G =$I00,001 - $1 ,000,0002. Value Codes J -$15.000 or less K =$15,001 - $50,000(Se e C o lum n s C I a n d D 3 ) N = $250,001 - $500,000 O =$ 500,001 - $1 ,000,000

P3 = $25,000,001 - $50,000,0003. Value Method Codes Q - Ap p ra i s a l R =Cost (Real Estale Only)(Se e C o lum n C 2) U =Bo o k Va lue V =O th e r

C =$2,5 01 - $5 ,000HI -$1,000,001- $5 ,000,000L $5 0, 001 -$I00, 000PI =$1,000,001- $5,000,000P4 =More than $50,000,000S =As s e s s m e n tW= E st ima ted

D =$5,001 - $15 ,000 E =$15,001 - $50,000H2 --More tha n $5,000;000M =$i00,001 ~ $250,000~2 =$5;ooo,oo~ - $25,000,000T = Cash M arke t


6/7


N a m e o f P e r so n R e p o r t i n gBARKER, SARAH E.

D a t e o f R e p o r t4/26/2011

V I I I . 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 . (Indicate part of report.)

Sec t io n VI H o w e v e r , o u rt he r epor t i ng pe r son i s in vo lved in such lo an s in an y l eg a l cap ac i ty .S ect ion VII (5) : "Mer r i l l Lynch Ret i r ement Reserves" i s an aggregated and occas ional ly r epor table , t emporary accumulat ion o f IRA cash held as r eserves and /o rswep t in to d ep o s i t acco un t s in Merr i l l Lyn ch-a l l i ed in s t i tu t io n s . Th i s i s in es sen ce a cash f lo w p hen o me n o n w hich o ccurs to vary in g d eg rees wi th in IRA acco un t spr io r to d iv idends , e tc ., be ing au toma t ical ly r e inves ted in the under ly ing ho ld ing s , w hich themselves p rod uced the d iv idends . S uch unde r ly ing ho ld ings ar ed isc losed fu l ly e l sew here in S ec t ion VI i .


7/7

FINANCIAL DISCLOSURE REPORTPage 7 of 7

Name of Per son Repor tingBARKER, SARAH E.

Date of Report4/26/2011

IX. CERTIFICATION.1 c e r t i f 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 i n 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 s

a c c u r a t e , t r 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 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 t i n g n o n - d i s c l o s u r e .I f u r t h er 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/SARAH E. BARKER

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 LY F A L S I F IE S O R F A I L S T O F I L E T H IS R E P O R T M A Y B E S U B J E C T T O C I V ILA 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 t t e e o n F i n a n c i a l D i s c l o s u r eA dm i n i s tr a t ive O f f ic e o f t h e U n i t e d S t a t es C o ur t sSuite 2-301O ne C o l um b us C i r cl e , N . E .W a s h i n g t o n , D .C . 2 05 4 4

Sarah E Barker Financial Disclosure Report for 2010

Documents

Transcript of Sarah E Barker Financial Disclosure Report for 2010