David D Dowd Jr Financial Disclosure Report for 2009

8/3/2019 David D Dowd Jr Financial Disclosure Report for 2009

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l A n ] 0 FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b y t h e E t h i c sin Gavernmen t Act of 1978R o y . ] / 7 0 /o F O R CA LEN D A R Y EA R 2009 ( 5 U . S . C . a p p . . ~ ~ I O / - / l /)I . Per son Repo r t ing ( l as t name. f i r s t, m iddle in i t i a l) 2. Cour t or Organizat ion 3. Dale of Repor tDOW D , JR., DAV ID D. U .S. DISTRICT COU RT, NDOH 04 /15 /2009

4. Til le (Article Ill judges ind icate active or se nior status; 5 a . 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 t y p e ) 6. Repor t iag Per iodmagistrate judges indicate full- or part-t ime) [ ] N o m i n a t i o n , D a t e 0l/01/2009U.S. DISTRICT JUDGE - SENIOR [] Initial ~Annual r--[ Fina l to12/31/20095 b , [] A m e n d e d R e p o r t

7. Chamber= or Off ice Addr t~s 8. On the basi s ol the In[nrmat ion con tained in th i s Repor t and anymodi f i ca t ion= per t a in ing there to , i t I s . i n my op in ion , in compl i anceUN ITED S TA TES C O UR THO US E wi th app l i cab l e l awl and r egu l a t i o n s .TW O S O UTH M A IN S TR EETAKRON. OHIO 44308 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 followed. Complete all parts,checking the NONI3 box for each part whe re you have no reportable information. Sign on la~t page.

I . P O S I T I O N S . ~ R ~ o ~ .g i . , " , i~ a , ~ o . t y ; .e p ~ 9.t ~ of fding instr~ct ions.)~] NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

II . AG R E E M E NT S. ~ e ~ , n , ~ , gNONE (No reportable agreements.)

D A T E P A R T I E S A N D TERMS :! "I.


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F IN A N C I A L D I S C LO S U R E R E P O R T n , ~ o e o t P c ,~ o ~ R e p * ~ n ~ D , t c o f R , p o .Page 2 of 9 DOWD, JR., D A V I D a . 0 4 / I 5 f 2 0 0 9

I I I. N O N - I N V E S T M E N T I N C O M E . ~ o r o, ~ gA. Filers N o n - In v e s t m e n t I n c o m e[-~ NONE (No reportable non-investment income.)

D A T E SOURCE AND TYPE ~ IN CO M E(you rs , no t s pou s e s )I. A n n u i ty - P u b l ic R e t ir e m e n t S y s t e m o f O h i o A n n u i ty $31,5 i 6.002.3.4.

B . S p o u s e s N o n - I n v e s t m e n t I n co m e - If you n, rr married during any portion of the reporting ~ar. campier, this section.(Dollar amount t~ot required ~cept fi~r honoraria,)[~] N O N E ( No repor t ab le non- i nves tm en t incom e . )

DATE_ SOURCE AND TYPEI. S t a te T e a c h e r s Re t i rem en t S y s t em ( p ay ab l e m o n t h l y )

2.3.4.

I V . R E I M B UR S E M E N T S -(Includes those to spouse and dependent children: $ePP. 25-27 of f i ling instructions.)

NONE (No reportable reimbursements.)SOURCE ~ LOCATION PURPOSE ITEMS PAID OR PRO.VIDED

1 .2.3.4.5.


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FINANCIAL DISCLOSURE REPORT Namee f re r s en Repo r t iRg Dateo fRepo r tP a g e 3 o f 9 DOWV , J R . , D A V I D D . 0 4 / 1 5 / 2 0 0 9

1-~ NONE (No reportable gifts.)~ ; O U R C E D~SCRI~TION VALUE

I.2.3.4.5.

V I . L I A B I L I T I E S . a n a , a , , , h , ,, o / ~ o u ~ o , ~ d , p , n a o n t ldldren: ~ee p p . J 2 -3 . ] of j~ling [ttrtrucHons.)[] N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE

2.3.4.5.


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N a m e o f P e r so n R e l ~ r ti n g Date of ReportFINANCIALD I S C L O S U R E REPORTI DOWD, JR., DAVID V.age 4 of 9

VH. INVESTMENTS and TRUSTS -~o =. , ~ , , . . ,,.,~ac,~o,,., a^c t~d,~~ N O N E ~ o reportable income. ~se~. or tra~actions.). . . . . . . . . . . . . . . . . . . . . . . . ~ . . . . . . . . . . ~ ~. ~ c.~fiption of~ ~ ln~ ~g { G r o ~ v a l u e a t

P[~ "(~" afl~ ~h ~t {~t { T~ (e.g., Val~ V~ue ~ T~ (e,[,, Da~ Value Gain . Id~Ii~ ofexe~I f~m p~or di~lo~e ~1 ~ ~v., ~ C o d e 2 Me~

............................. I ............. ~ .................... ~ ............................... : ...... ~ ........I. ~ l~ holdings follow:2. ~XXON CO~TION A D i ~ d e n d K T Sold 9 ~ 2 J A3. ~[M~CO. A Di~dcnd J T4. FIRST MERIT B Dividend J T

[ 5 . AVf 6% Corporate Note A Interest J T

1 6 . AT T 6% Corporate Note A I n t e r e s t J T ~ . NM Corporate Note 5 .9% A Interes t J T

1 8 . Exelon A Div iden d J T1 9 . Southern Corp. A D i v i d e n d J T Buy 9 / 22 JI 1 0 . Telccom C N W Zlnd A Dividend J T Sold 8 / 1 0 J A

I I. Colgate-Palmolive A Dividend J T

12 . American Electric Power A Dividend ) T Buy 6 / 22

13 . Dominion RES INcNEW VA A Dividend J T B u y 6 / 2 21 4 . D ow Ch em ic a l Co . N o t e A Interes t J T B uy 6/29

"1 5 . Caterpillar Fin. note A Interest J T Red~med 7/I

16 . Bank of New Yorknote A Interest J T

17 . Gencral Electric note A Interest J T

I . Income Gain Codes : A -$1,000 o r le s~ B = $ I . O l ) 1 - $ 2 . 5 0 0 C =$2.501 - $5.000 D = $ 5 . 0 0 ! - | 1 5 . W O O E ~ $ 1 5 . C 0 1 * $ 5 ~ , 0 0 0(Se e Co lu m r~ B I a n d D 4 ) F -$50 .001 - $ 100 ,000 G =$100.001 - $1.000,000 H i =$1,000.001 - $5.000.000 H2 =Mor~ than2 . Value Cod~s .g -$ I 5.000 o le~ K =$15.00 ] - $50,000 L -$50,001 - $ 100,000 M =$100.001 - $250,000(Se e Co lu r am , CI a n d O 3 ) N ~ $ 2 5 0 , C O 1 - $ 5 0 0 ,0 0 0 O ~$500.f~01 - $1,000.000 P I =1t ,09~ .001 - $5 ,000 ,D00 P2 =$5,D00,~1 -P $ = $ 2 5 , 0 0 0 . C O I - $ 5 0 , 0 0 0 , 0 0 0 P 4 = M o ~ t h an3 . Value M~ tho d Cod es Q -App ra isa l R ~ {R e a l Es ~a |~ O n l y ) S -As ac s s mcm T =Cas h M aA~~S~Colmnn C 2 ) O -Book Valb~ V ~~)th~ W =Estimak:d


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ia m e ~ 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 t |F I N A N C I A L DISCLOSURE REPORTI D O W D , JR . ,D A VI D D .

04115/2009a g e 5 o f 9V 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 . . e , . . t. . , ~ . ~ , . c n o . ~ tTncladars those of s p o a s e a n d dependent children; see pp. 3 4 - 6 0 o f f c l i n g i n ~ r u c t i o n ~ )

NONE (No reportable income, assets, or transactions.)D e s c r i p t io n o f A s s e ts In com e during Gro ss v a lue a t end Transac t ions dur ing repos ing pedod(including trust assets) I m p o a i n g p e r io d o f r e p o r t i n g p e r i o d

! Pla~(X)" aRer each asset i A m o t m t T y p ~ ( e . g ., Value ] Value T y p e { e .g . , D a t e Value Gain I I d e n t i t y o f, e x e m p t f r o m p r i o r d i sc l o s u r e ! Code I d i v . , r e n t , Code 2 I Me thod laly, sel l , m . m / d d f y y C o d e 2 Code I buyer/se lle ri ( A - H ) l o r i n t . ) ( J - P ) ] C ode 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e

1 8 . Mara thon Oi l Co rpo ra t i o n no t e A In terest K T1 9 . Nete l Com mun ic a t ions Co . no te A Interes t J T20 . Th e f o l l o w i n g s e c u r i t ie s a r e h e l d i n m y

21 . S BC C O M h ~ J N IC A TI~ )N S . n k a A T& T A Div i d e nd J T22 . FI R ST E ~ E R GY C OR P - FNA OH I O A Div i d e nd J TE DI SON23 . TI~dKEN " A Div i d e nd J T24 . A G L R E s o U R c E S " A Div i d e nd J T25 . FIRST I~ERIT B Dividend K T Sold 10/9 J A( p a r t )26 . AMERICAN ELEC. POWE~ I" A Div i d e nd J T2 7 . N A T i O N A L C I t Y C O R P . A D i v i d e n d J T28 . AMEREN CORP. . A Div i d e nd J T S o l d 8/10 J A( p a n )29 . P R OGR E SS E NE R GY C OR P . A Div i d e nd J T3 0 . O h i o S l a te D e v , A u t h . Bo n d 5 . 8 4 % d u e A Interes t J T31 . Sou the rn Corpo ra t ion B Div i d e nd K T~ 2 . Gene ra l Ele c t r l e A Div i d e nd J T So l d 8/10 J A33 . M i a m i Un i v . o f O h io Bo n d s A In terest J T34 . Pr inc e ton Oh io Ci ty Schoo l Bo nds A Interes t J T

I . I r g o m G a i n C l x l e l: ^-$1,000 or leu B = $ 1 , 0 0 1 " $ 2 , ~0o C ~$2,501 -i~,~ D ~5.~I - ~15,~ E=$1J,~I -$~,~]. Val~ CMes J ~$15,~0 ~r Ins g =$ I 5.~1 - 150,~0 L =$50,001 - $1 ~,~ M -$ I ~.001 - ~0,~

P3 ~2S.~,~1 - 150,0~,~0 P4 =Morn th~3, Va~ Me~ Cod~ O =Appmi~ R~t (Re~ E~ ~y) S =A~nt T~a~(See CoI~ C~) U "~k Valu~ V ~ W................................. ..........................


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F IN A N C I A L D I S C LO S U R E R E P O R TPage 6 of 9 ~O W D , JR. , D A V I D D . 0 4 / 1 5 . r 2 0 0 9

N O N E ~o reportable income, ~e~, or tra~actio~.)~cf i p t i o n o f Asse t s In~m~ ~ng ~ o ~ ~ u e a t ~ n d ] T~tions d~ng ~po~mg

exem p t f m m p r i o t d i s c ~ , = ~:C~lI div.,r~t, C~2 M~ ] ~y.s.I], :~.;Code2 {C~1t (A -H) [ orint,) ( J - P ) C~3 " ~ e m p ~ o n ) " ~ ( J -P ) ~ (A-H} ( i f~ i vme

35 . : ~::: :] 1~ holdings follow:

36 . P R OGR E SS E NE R GY A Div i d e nd J T37 . ~XON-MOBIL A Divide~ J T38 . FIRST ME~ A Dividc~ J T So l d II111 J A39 . TIM KEN C O . A Div i d e nd J T

A D i v i d e n d J T41 . Gene r a l M i l l s A Di~d~d J T42 . Kcllo~ A Div i d e nd J T43 . S o u t h e rn C o m p a n y A Div i d e nd J T B u y II/li J~. W al -Mar t S t o ~n o l c [n tc r~ t J T45 . $10 ,000 U .S . T rcasury No t e I n t e r e s t J T4 6 . Pro per t ies in thc n ame o f . . .. .. . 1 :47 , Two-bed rm cond o - Nap le s , FL - no t ren t ed N o n e M T

" 4 8 . 2 be d rm h o m e i n M a s s i l lo n , O H- n o t r e n t e d N o n e L T49 . Non-Div idcnd ! In t c rc s t bea r ing s e cu r i ty in50 . SH ADY H OL L OW C OU NT R Y C L U B Non J T51 . WILDERNESS COUNTRY CLU[~ N o n e K T

I . In come G = i n C o d e s : A = $ I . 0 0 0 o r l e s s B ~$1,001 - $2 .500 C =$2501 - $5 . ~ 0 D =$5 .~ 1 -( ~ C o l u ~ s B I ~ n d ~ ) F --$50,~1 - $ I~,~ . G ~$1~.~ I - $1.0~.~ HI ~1.~,~1 - $~.~,~ H2 =M~ ~a $5,~.~

~. Va~ M~od Co~ Q =~isa] R ~=t (R=al ~t~ Only) S -As~t T ~ a s h M a r k e t(~ Colaam ~) U =~k Vflu= V ~h~ W = E s l ~ a t~ ;


7/9

F IN A N C I A L D I S C LO S U R E R E P O R T F N = , . .~ r F e , ~ o . R . ~ r t t .= D = t , o f R e p o .Page 7 of 9 D O W D , J R . , D A V I D D . 0 4 / 1 5 . r 2 0 0 9V I I . I N V E S T M E N T S a nd T R U S T S - ~ . ~ o , ~ . ~ a ~ t , ,~ .mo,~ a .a~a~ ,~o~o o[~o~o ,~a ~ ,~ ,~ , ,~ t~ , .~ ~, ~ ~ - ~ o

NONE ~o reportable income, ~se~, or tramactio~)i ~. ~ B . C. D ~ ........................~ 6p t i o n o f As s e t s [ I n c o m ~ d ~ n g G r o s s ~ u a t e n d T m n s a ~ i o ~ d u r i n g ~ p o ~ g p ~ ~ ( i n c l u d in g ~ s t ~ s e ~ ) ] ~ing p~od o f r ~ o~ ng~ ~la~(~a~er~ch~t [~o~tI T~(v.g., Val~ / Vflue T~(e.g., [ Date [ Value ; Gain xemp t f~mp f i o rd i s c l o~ re ~C~I I div.,r=~ C~e2] Me~ ~,~II, I~d~, ~2 ~C~I

52 . S e c u d t i ~ in t h e n a m e ~ : 1 :53 . A~ERICAN ELE~C POWER A Div i d e nd J T~4 . Fir s t Mer i t Co~ . A Div i d e nd J T55 . O~ ST W a t e r Dev e l opm en t Au tho f i~ A I n t e r ~ t K T~ e v e n u e56 . B o n ~ p a y i n g 4 . 6 2 5 % d u e 1 ~ 1 / 2 757 . A k ro n O H I n c o m e Ta x R e v e n u e Bo n d A Interes t J Tp a y i n g 4 . 5 %58 . du e 12 / I / 2 8

59 . To l e d o O H C i t y S c h o o l D i s t r i c t Bo n d s A Interes t K Tp a y i n g60 . 4.625% due 12~i/32 .....61 . AGL R e s ou r c e s A Div i d e nd J T

: 62 , D u k e En e r g y A Div i d e nd J T63 . Ham i l ton Coun ty Conven t ion Cen te r bonds A Interes t K T64 . Spec t ra * ( s p l i t w i th Duke Ene rgy) A Div i d e nd J T F "6 5 . " C i t i g r oup A Div i d e nd J T So l d I 1 / 1 1 J A66 . Gene r a l M o to r s A Div i d e nd J T S o l d 1 1 / 1 1 J A67 . Ti m k e n A Div i d e nd J T


8/9

, F IN A N C I A L D I S C LO S U R E R E P O R T N a , ~ o f P e ~ o . R e p o ~ n ~ D a t c o f R ~ p o . IP a g e 8 o f 9 a o w u , J R ~ D A W ~ ~ . 0 4 ~ 2 0 0 ~V I I I . A D D I T IO 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 . a~,ti~o~,~t


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FINAN CIAL DISCLOS URE REPORT ] Name of Pc~ R~pa.in~ ~ , , t o o ~ R e p o aPage 9 o f 9[ D O W D , J R . , D A V I D D .

04!15/2009

IX. CERTIFICATION.I c e r t if y t h a t a l l in 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 in g i n f o r m a t io n p e r t a in 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 sa c c u r a t e , t r u e , a nd c o m p l e t e t o t h e be~ t o f m y k no w l e dg e a nd b e l i e f , a nd t h a t a ny i n f o r m a t i o n no t r e po r t e d w a s w i t h h e l d b e c au s e i t m e t a pp l i c ab 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 ,1 f u r t h e r c e rt i f y th a t e a r n e d i n c om e f r om ou t s i d e em p l oy m en t a nd h on o r a r i a a nd t h e a c c e p t a n c e o f g i f ts w h i c h h a v e b e e n r e po r t e d a r e I nc om p l i a n c e w i t h t h e p r ov i s i o n s o f 5 U .S .C. a pp . 501 e t . s eq . , 5 U .S .C . 7 353 , a nd J ud i c i a l C on f e r e n c e r e gu l a t i o n s .

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U LL Y F A L S I F IE S O R F A L L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LAND C R I M I NAL SANC T I ONS ( 5 U .S ,C . a pp . 104 )

FILING INSTRUCTIONSM a i l s i g n e d o r i g i n a l a n d 3 a d d i t i o n a l c o p i e s t o :

C o m m i tt e e o n F i n a n c i a l D i s c l o s u r eA d m i n i s t r a t iv e O f f i c e o f t h e U n i t e d S t a t e s C o u r t sS u i t e 2 - 3 0 1One Columbus Circle, N.E.W a s h i n g t o n , D . C . 2 0 5 4 4

David D Dowd Jr Financial Disclosure Report for 2009

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