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. ao0 FINANCIAL DISCLOSURE.. REPORT R t y ) r t R e q u i r e d l y th e E t h i c sin Go vet n me~t A ct ~ 1978~ e v . ~ / ~ o ~ o FOR CALENDAR YEAR 2009I. Person R~porting ~,lasl na me, first, middle initiaI) 2. Court or Organiza~ion 3. Date of Repor tGWIN. JAMES S. N.D. OIllO 05/10/2010
4. Title I Anicle II1 judges indicate active or senior stares; 5a . Report Type (check a pprnpria te type) ! 6. Reporting P~riodmagist~le judges ind~cale filll- o~ pad-time) ~ Nomination. D a ~ c 01/0112009JUDGE, ACTIVE ~ Initial 12~91/2~9
5b. ~ Amended Repoa7. Chambers or Office Addrt~s 8. O n the basis of the information conea ined in this Repor t and anymo dilica t i lms perta ining Iherelo , i l is, in my opinio n, in complianc eCARl. B. STO~S US COURT ttOUSE ~hh applicable la~s nod regulations .801 WEST SUPERIOR AVENUECLEVELAND, Oil 44113 Reviewing Officer Date
131PORTAN T N OTES: The instructions accompanying this f !~rm must be fol lowed. Comphte al l parts ,cheeking the NONE box for each part w here you ha ve no reportable information. Sign on last page.
~ N O N E (No repormbleposi l ions . )POSITION NAMg OF ORGANIZATIONi~NTITY
2.
~ N O N E (No reportable agreements.)DAT~[ PARTIES A~ TERMS
1. AI retir~m STAT~ OF OHIO PUBLIC EMP~OYE~ R~TIR[MENT SYSTEM. RIGIIT TO REtIReMENT II~N~FI~S
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FINANCIAL DISCLOSURE REPORT N .... fP ...... R e p o r t i n g D a t e ~ . ff R e p o r tPage 2 of 7 ~ ; w ~ , J A I ~ I E S S . o 5 , ~ o . 2 o ~ 0
l I l. N O N - I N V E S T M E N T I N C O M E . ~R ~por,i .g i ,zi~ia~,~ ~,~ po.s~; ,~ p,. tz-:~ of ~ti ,gA. Fliers Non-lnvestment Income
NONE (No reportable non-investment income.)DATE SOURCE AND TYPE (yours, not spouses)
1. Fall 09 Cleveland Slate University, Adjunct facul~ salary $2,000.00
2.3.4.
B. Spotlsc~s Non-Investment Income - ~f.~,,,, were married during any t~ortion of the repor~ing year complete this sectio~( D o l l a r a m o u n t n o t r e q u i r e d ~ x c ~ 7 ~ t f o r h o n o r a r i a . )
~ NONE ~0 reportable non-investment income.)DATE SOURCE AND TyPE
I. Monthly INTERNATIONAL BUSINESS MACHINES, INC ] ~ns ion2. Monthly ] salad, bo nus, restfcted st~k
3.4.
I V . R E I M B U R S E M E N T S - transportation, Iodl41ng, Jbod,
---] NONE (No reportable reimbursements.)
~ DATES I,OCAIION PURPOSE ITEMS PAID OR PRO\tIDED1 . A me ri ca n Co n fe re nc e 1 2 ; 9 - 1 2 / 1 0 Nev, York City Speak at CLE progxa m Airfare. lodging
Institute2.3.4.5.
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FINANCIAL DISCLOSURE REPOR T r~ ....I P ....Reporting Da,e ol" ReporlPage 3 of 7 ~ w t ~ , J A M E S S . 0 5 / 1 0 / 2 0 1 0
V . G 1 F T S . a , , ,. t ,, a ,, ~ , ,~,o,, ,,, spouse and ae~nan~ children see pp. 28-31 ~f filing in.str#ctions.)NONE (No reportable g~/ts.)
SOURCE DESCRIPTION V__ALUE1.
2.
3.4.
5.
V I . L I A B I L I T I E S . a , c t , ,J , , ,~ o . ~ , q . ~ p . . . .. . # a , p , . a , , , , . ~ i ~ , ~ , : * , , r p . ~ 2 - , o z ~ z i . . . . . , ~ , , , , , . ~N O N E (No r~Tortable liabilities.)
CREI)ITOR DESCRIPT]ON ~ rALUE CODE1.2.
3.
4.
5.
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tN a l n e o f P e r s o n R e p o r t i n g [ D a | t o f R ~ p u t tFINANCIAL DISCLOSURE REPORT c w ~ r ~ , J A ~ : S S .age 4 o f 7VI I. INVESTMENTS an d TRUSTS -
N O N E (No reportable income, assets, or transactions.)- A. .................... ~ ................ C. -- " D.D c s c r i p t l o n o f A s s c ~ 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 n m s a c t io n s d u r in g r e p o r ti n g p e r i o d(including ~st ~%ets) ~ p o ~ 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 a s s e t Amount Type (e.g., V alue V alue T ) ~ e ( e . g ., D a t e Value G a i n I d e n t i t y ~ fe x e m p t f r o m p r i o r d is d m u r c C~e 1 I diL, rent, C~c 2 M e t ho d b u y , s e l l , m~.d~yy C o d e 2 C o d e 1 b u y e r . : s e l l e r~ o r i n t . ) ( J - P ) C~c3 r e d e m p l i o n ) [ j - P ~ [Ad O (ifpfvate~ Q - W ) t r a n s a c t i o n )
1. IB M co mm on slo ck (IB M) C Dividend M T2. Qalaxy mutual funds A Dividend J T3. Berkshire Hathaway commo n slock (BRKA A Dividend L T4. V angua rd Total Stock Market Index Fund, A Di~,idend N "I" Va riou purch Ktax deferred5. Merrill Lynch mo ney ma rket fund A Di\ idend K T6. T.Row Price Mid-Cap Mntual Fund A Dividend K T(RPMGX)7. ] common .stt..u: k, D Dividend O T
I8. Fidelity Contra Fund, mutua l fund (FCNTX A Dividend M T9. Lord Abbett MidCap Fund, mutual fund fl Dividend K T(LAVSZ)
10 . Ba ~is New York Vcnlurc Fund, mutual fund A Dividend K T(NYV-rX)11 . General Electric, commo n stock (GE) A I)i~:idcnd J T12 . Exxon (XOM) A Dividend K T1 3 . Camco Financial Corp. ,common stock A DMdcnd J T
(CAH)1 4 . Heio~,, common st~.k (IINZ) A Dividend J T1 5 . Pfizct, com mon stock (II:E) A Dividend J T16 . Briston Myers, commo n stock (BMY) A Dividend J T1 7 . Cisco, comna on slock (CSCO) A Dividend J T
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FINANCIAL DISCLOSURE REPORT ~ .... f P e r s o n R e p o r t i n g I Date of ReportPage 5 o f 7 GW~N, JAMES S.
V I I . I N V E S T M E N T S a n d T R U S T S - i ........... ~ ........... .,io~., a,,.~a~ ,. ,/,o,., ,,? ...... ~ ~,~ .d~ ,,,~,i~,..; .,,,pp. ~ 4-~ oN 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 ~ ~ I~ome durtng G ~ O S ~ ~ M u c at e n dl
T n m s a c r io n ~ d u r i n g rc~rling(including trust .... ts ) ~. rep~3.~..~riod ~ ofrep,,~ing~ [1) ~ (2) el) (2) (l ) [ (2~ (3) ~4) (5 )Place qX)" afi~ each ~sel i A m o u m T)~e (e.g. V a l u e V a l u e T)~ (e.g.. ~ Date V a lu e Gain Idcnti~ of
e 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 m . C ~ d e 2 : M e th o d b u y , s e l l , : : m ~ d ~ " yy C o de 2 C ~ t e 1 b u y c r ~ s c l l c r( A H ) o r i n ~ . ) ( J - P I C~c 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e~ [ Q - W ) ~ans~hon)
18 . Wal~ Disney Co., conunon stock (DIS) A Di~dend J T19 . Microsoft Corp.,commo n stock (MSFT) A Dividend J T
2 0 . Farmers National Bank, common stock A Dividend J TtFMNB)2 1 . Intel Corporation, commo n stock (INTC) A Dividend J "T2 2 . Schwab Money Market Fund E Dividcnd PI T23. BB & T Corp. , conunon stock (BBT) A Dividend J T2 4 . Ciligroup, common stock (C) A Dividend J T2 5 . Chevron Texaco Co. ,common stock (CVX) A Dividend K T2 6 . C o n , , w c o P h i l li p . ~ A Dividend K "I-2 7 . Templcton Dragon Fund A Dividend J T2 8 . Fpa Capital Fund (FPPTX) A Dividend2 9 , Morgan Stanley Asia Fund (APF) A Dividend J T3 1 ) . JPMorgan Chase & Co .IJPM) A Dividcnd K T
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P a g e F 1 N A N C I A L 6 o f 7 D I S C L O S U R E R E P O R T G\~ IN, JA/MES S.
VIII . ADDITIONAL INFORMATION OR EXPLANATIONS.
Regarding Ihe inveslment in the Vanguard Fund. this investment is made through an employer 401 plan sponsored at --]employer. The ),early statutoryrnaxirnum is met in the first quarter allhough ,,~e do not know the exac~ dates of purchase.Regarding the Thrill Savings Plan Commo n Stock lndex Fund, this investment is made through a rt emplo.ver 401 plan spo nsored by the US. Courts. Maximumallo~able deductions and purchases are ma de each month.Regarding Schwab Money Market Fund (Part V II, 24) this investment is a mo ney market fund to w hich investments are made relatively frequently arid infrequen!withdrawls (checks paid) occur .
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FINANCIAL DISCLOSURE REPORT N .... fP . . . . . Repor,ingPage 7 o f 7 GWIN, J A M E S S . 0 5 / 1 0 . 2 0 1 0IX. CERTIFICATION.
I cert ify that al l information given above (including information pertaining to my spouse and minor o r dependent children, i f any) isaccurate, t rue, and com plete to the best of my knu~ledge and belief, and that any information no t reported wa s withheld because i t met applicable statutoryprovisions perm it ting no n-disclosure.I further cert ify that earned income from outside employment and ho noraria and the acceptance o f gifts which have been reporled arc incompliance w ith the provisions of 5 U.S.C. app. 501 et . seq. , 5 U.S.C. 7353, and Judicial Conference regulat ions .
Sigaatur!
NOTE: ANY INDIVIDUAL V vH O KNOW INGLY AND \VII.FULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY B E SUBJECT TO CIVILAND CRIMINAL SANCTIONS (5 U.S.C. app. 104)
FILING INSTRUCTIONSMail signed original and 3 additional copics to:
Committee on Fina,icial DisclosureAdminislrative Office of thc Unitcd Statcs CourtsSuite 2-301One Columbus Circle, N.E.Washington. D.C. 20544
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