Dean Whipple Financial Disclosure Report for 2010

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8/3/2019 Dean Whipple Financial Disclosure Report for 2010

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AO IORev. 1/2011

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR Y EAR 2010

Report Required by the Ethicsi n Government Act o f 1978(5 U.S .C. app. .~.~ 101-111)

I. Person R epor t ing ( las t name, f i r s t , middle in i t ia l )

W H I P P L E , H A R O L D " D E A N " D .

4. Title (Article III judges indicate active or senior status;magistrate judges indicate full- or part- time)

U. S . DISTRICT JU DGE (Se n i o r S t a t us )

7. Chambers or Off ice A d d r e s s

8 4 6 2 Ch a s . Eva ns W h i t ta k e r Cr t

400 East 9 th St ree tKa nsa s C i t y , M O 6 4 10 6

2. Court or Organizat ion

Western Dist r ic t of Missouri

3. Date of Report

05/10/2011

5a. Report Type (check appropriate type)

] N o m i n a t i o n , D a t e

[] Initial [] Annual [] Final

5b. [] Amended Report

8.On the basis of the information contained in this Report and any

modifications pertaining thereto, it is, in my opinion, in compliance

, , v it h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

Revie ,~ing Off icer Date

6 . R e p o r t i n g P e r i o d

01 / 01 / 2010

12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followe,t Co mp le te a l l p a r t s ,

checking the NONE box for each part where you have no reportable in formation . Sign on last page.

I . P O S I T I O N S . t R e p o n l n g i n d i v i d u a l only; see p p . 9 - 1 3 of filing instructions.)

1-~ N O N E (No reportable positions.)

POSITION

NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . ~ R e p o ~ i n ~ i n d ~ i d u a l o n l y : , , , ~ , ~ , . 1 4 - 1 6 of filing instructions.)

[~] NONE ( No reportable agreements.)

D A T E PARTIES AND TERMS

N a m e o f P e r so n R e p o r l i n g

W H I P P L E , H A R O L D " D E A N " D .

D a t e o f R e p o r t

05/10/2011

I I1 . N O N - IN V E S T M E N T I N C O M E . tRepo.i .g i n d i v idual an d spouse ¢ se e pp . 17 - 2 4 o f f i l i n g instructlon~O

A. Flier’s Non-Investment Income

D NONE no n- inv e s tme n t i nc o me . )N o reportable

D A T E SOURCE AND TYPE INCOME

( y o u r s , n o t s p o u s e ’ s )

1. 2010 M i ssour i Judge s Re t i r e m e n t Sys t e m - Pe ns i on $38,385.00

B . S p o u s e ’ s N o n - I n v e s tm e n t I nc o m e - i f y o u were m arried during an y port ion of the report ing year, complete this sect ion~

(Dollar amount not required except for honoraria.)

V - - ] N O N E (No reportable non-investment income.)

DA T E S OU R C E A ND T Y P E

1. 2010 Adm i n i s t ra t i ve Of f i c e - U.S . Cour t s - Adm i n i s t ra t i ve Ass i s t a n t

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertal .... t.

( I n c l u d e s t h o s e t o s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 2 . 5 - 2 7 o f i l li n g i n s t r u c t io n s . )

~] (N o r e p o r tab le r e imb u r s e m e n t s .)ONE

SOURCE D A T E S LOCATION PURPOSE ITEMS PAID OR PROVIDED

P a g e 3 o f 9

N a m e o f P e r s o n R e p o r t i n g

\ VH I P P L E , H A R O L D " D E A N " D .

D a t e of Repor t

O~/lO/201 I

V . G I F T S . a . c ~ . d . ~ , h o s o , o s ~ o ~ s e ~ . d d o r ~ . d e . t children; see pp. 2 8 - 3 1 of filing instructions.)

N O N E (No reportable gifts.)

SOU RC E

DESCRIPTION VALUE

V I . L I A B I L I T I E S . a . c t. d e s ~ h o s e o l s p o u s e u . d d e p e . d e .t children; see pp. 3 2 - 3 3 offillng instruction~)

N O N E ( ]go rep ortable l iabi l i t ies . )

CREDITOR DESCRIPTION

VALUE CODE

N a m e o f P e r s o n R e p o r t in g

WH IPPLE, HAROLD "DEAN" D.

Date of Repo~

05/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - Z n , - o , , , e . v , , / o e , ~ o ~ o . i o ~ ( t n d u d ~ t h o s e of spouse and dependent ch i /dren: see pp . 3 4 - 6 0 of filing instructions.)

D (No reportable assets, orONE income, transactions.)

A. B. D.

Description of Assets Income dur ing Transactions during reporting period

(including trust assets) reporting period

i (I) (2)

i A m o u nt T y p e ( e . g .,

C o d e 1 d i v . , r e n t ,

(A-H) o r i n t . )

Place "(X)" after each asset

exempt f rom pr ior d isclosure

1 . Woodl a nds , Da l l a s Co . , M O None

2. W o o dla nd s , D a lla s C o ., M O No ne

3. O ff i ce Bldg . , L ebanon , MO None

4. 1 /2 O wn e r wo o d la nd s , La cle d e C o ., M O No ne

5. I /3 O wner w oodlands , L ebanon , M O None

6. Al l y De m a nd No t e s ( fo rm e r l y GM AC) B Interest

7. Bank of A mer i ca A ccou nt s B Interest

8. Corn P rod . l n t ’ l, com. s tock A Di vi de nd

9. Vai l Res or t , I nc . ( comm on) None

1 0 . M i d-M i ssour i B a nk Ac c oun t A Interest

1 1 . C isco S y stem s, In c . (co m m o n ) No n e

1 2 . P e p s i c o , I n c . (c o m m o n ) B D iv idend

1 3 . Fe de ra t e d To t a l Re t u rn B ond Fund C D iv idend

1 4 . P i m c o F o r e i g n B o n d F u n d B D iv idend

1 5 . Va ngua rd GNM A Fund B D iv idend

1 6 . Vangu ard D ev e loped Marke t s I ndex B D iv idend

G r o s s v a l u e a t e n d

o f r e p o r t i n g p e r i o d

(i) (2)

Value V a l u e

C o d e 2 M e t h o d

( J - P ) C o d e 3

(I ) (2) (3) (4) (5 )

T y p e ( e . g ., D a t e Value Gain I d e n t i t y o f

buy, se l l , m m ~ d d ~ Code 2 Code I buyer / se l ler

r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e

t r a n s a c t i o n )

Sold 05/21/10 J

S o l d 05/26/10 L

Bu y 04/14/10 J

Bu y 05/28/10 J

I . I ncome G ain C odes : A =$1.000 or less B $1 ,001 - $2 ,500 C ~$ 2. 501 - $ 5 , 000 D =$5.001 - $15.000

( S ee C olu mns BI and I ) 4 ) F =$50.001 - $1 00 ,000 G = $100.001 - $1 .000,000 Ill = $1.000,001 - $5.1900.000 112 = M ore than $5,000,000

2. Value Codes J =$15.000 or less K =$15.001 - $50.00) L -$50.001 - $100.0(~ ) M =$100.001 - $250.000

( S ee C olu mns C I and D 3) N =$250.001 - $500.000 O =$500.001 - $1 .000.000 P I = $ 1. 00 0 .0 0 1 - $5 .0 0 0, 00 0 P 2 = $5 .0 00 .0 0 1 - $ 25 .0 00 .0 0 0

P3 =$25.000.001 - $50.000.000 P4 =More than $50.00~.000

3 . V a lue M cl h o d Co d es Q -A ppr a i s a l R =C ost (R ea l Esla te On ly ) S =Assessm en t T =C as h Mar k O

( S ee C olu mn C 2 ) U =Book Value V =Olher W =Estimated

E = $ 1 5 , 0 0 1 - $ 5 0 . 0 0 0

WH IPPLE, HAROLD "DEAN" D.

05/10/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - in c ~ m e ~ v a ~ u e ~ t r a n s a c ti ~ n ~ ( ~ n c ~ u d e ~ t h ~ s e ~ f s p ~ u s e a n d d e p e n d e n tc h i ~ d r e n ;s e e p p .3 4 ~ 6 ~ f ~ i n g i n s tr u c ti ~ n ~ )

N O N E (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e ts I n c o m e d u r in g

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d

i (~) (2)

P l a c e " ( X ) " a f t e r e a c h a s s e t i A m o u n t T y p e ( e . g .,

e x e m p t fr o m p r i o r d is c l o s u r e i Code I d i v . , r e n t ,

i (A-H) o r i n t . )

G r o s s v a l u e a t e n d

o f r e p o r t i n g p e r i o d

(t) (2)

Value V a l u e

C o d e 2 M e t h o d

( J - P ) C o d e 3

( Q - W )

T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d

(I ) (2) (3) (4) (5 )

T y p e ( e . g . , D a t e Value Gain I d e n t i t y o f

buy, se l l , mnddd~ Code 2 C o d e 1 buyer / se l ler

r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e

t r a n s a c t i o n }

1 8 . Bu y 12/16/10 J

1 9 . Vangu ard I ns t it u t i ona l I ndex A D iv idend L Buy 05/28/10 J

D imens iona l Fu nd A dv i s ors I nv es tmentDi m e ns i ons Group

D Dividend

I R A # 1 A Dividend K

T Bu y

(par t)

12/01/10

04114/10

1 2/01 /1 0

24 . -- AIM Int’ l . Mutual Fund

25 . - - A IM E qu i ty Fu nds CL A

26 . AIM G rowth SER C D iv idend M

27 . Ha r l e y Da vi dson , Inc . A D iv idend

28 . P i m . C o m m . B D iv idend L

3 0 . N o r t h e rn F u n d G l o b a l A D iv idend K

33 . Vangu ard T I P S [a]k!a Vangu a rd I nf l a t i on C D iv idend M

Protected]

05/21 /1 0

!05/28/10

1 2 / 1 6 / 1 0

04/1 4 /1 0

05/28 /1 0

12/16/10

04/1 4 /1 0

05/28 /1 0

I . I ncome G ain C odes : A -$1,000 or tess B =$1.001 - $ 2 . 5 0 0 C -$2.501 - $5,000 D =$5 ,0 0 1 - $ 1 5 , 0 0 0

( S ee C olu mns BI and D 4 ) F ~$50.001 o $100.00~ G =$100,001 - $1.000.0~0 III =$1.000.001 - $5.000.000 112 =More than $5.000.000

2. Vahle Codes J = $15.000 o~ less K =$15,001 - $50.00(* L =$50.001 - $100,000 M -$ 100. 001 - $ 250. 000

IS ce C olu m rts C I a nd D3 ) N $ 25 0,0 01 - $ 50 0.0 00 O =$5 0~ .0 01 - $1 .00 0.0 00 P I = $1,0 00 .0 01 - $5 .0 00 ,00 0 P 2 = $5 .0 00 .0 01 - $2 5.0 00 .00 0

P3 =$25.000.001 - $50.0~0.00D P4 =More than $50.000.0~0

3 . V a lue M et h o d Co d es Q =Appraisal R = C o s t ( Rea l Es l a t e On l y ) S = A s s cs s m ~ . m t T = C a s h M a r k ~

( S ee C olu mn C 2 ) U = l : k ~ o k V a l u e V =Olhcr W Es t ima te d

E $15.001 - $50.000

N a m e o f P e r s o n R e p o r t i n g

W HIPPLE, IIAROLD "DEAN" D.

05/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o , ~ e . , ,a l u e , t ,a ~ c , la , ~ a n c l u d e , th o s e of spouse and dependent children; see pp . 34-60 of filing instructions.)

N O N E (No reportable income, assets, or transactions.)

A. B. C. D.

D e s c r ip t io n o f A s se t s In c o m e d u r i n g G r o ss v a l u e a t e n d T r a n s a c t i o n s d u r i n g re 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 ) re p or t in g per i o d o f re po r t i n g p e ri o d

[ (I) (2) (I) (2) (I) (2) (3) (4) (5 )

Place "00" after each asset A m o u n t T y p e ( e . g . , V a l u e V a l u e Type (e.g., Da te V a l u e G a i n 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 re C o d e I d i v . , r e n t , C o d e 2 M e t h o d b u y , se l l , m n ~ ’ d d / y y C o d e 2 C o d e I b u y e r / s e l l e r

( A - H ) or i n t . ) ( . l-P) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f pr iva t e

[ ( Q - W ) t r a n s a c t i o n )

Vanguard Index Funds G rw Idx Signal A Dividend L T

Central Bank Accounts A I n t e r e s t J T

Bank M idwes t Account C I n t e r e s t M T

Ga rm i n , LTD A D iv idend

Federated High-Yield B ond B Dividend K T

Federated Ultra-Short B ond A Dividend J T

V angu a r d Sh or t -T e r m I nv . G r ade B Dividend K T

B Dividend K Tanguard Int-Term Inv. G rade

B uy 12/16/10 J

B u y 04/14/10 J

B uy 05/28/10 J

B uy 12/16/10 J

So l d 05/21 /1 0 J

Bu y 01 /1 4 /1 0 J

Bu y 04/1 4 /1 0 J

Bu y 05/28 /1 0 J

So l d 12/01/10 J(par t)

Bu y 12/16/10 J

B uy 04/14/10 J

B uy 05/28/10 J

B u y 12/16/10 J

B uy 04/14/10 J

1. Income Gain Codes: A =$1.000 or less B -$1.001 - $2.500 C ~$2.501 - $5.000 D =$5.001 - $15.000

( S ee C olu mns B I and D 4 ) F = $50,001 - $100.000 G =$100.001 - $1 .000.000 Il l ~$1 .000,001 - $5.000.000 112 = M arc lh an $5.000.000

2. Va lue C o d es J = $15.000 o r le ss K = $15,001 - $50.000 L ~$50,001 - $100.000 M $1 0 0 .0 0 1 - $2 5 0 .0 0 0

( S ~c C olu mns C I and D 3) N = $250.001 - $500.000 O = $500.001 - $1 .000.000 P I = $1 .000.001 - $5.000.000 1’2 -$5.000.001 - $25.000.000

P3 =$25.000.001 - $50.000,000 P4 =More than $50,000.000

3. Va lue Meth o d Co d es Q =App raisal R C os t tR c al E s t a t e O nly ) S ~Asscssm en ! T = C a s h M a r k ~ . ~

( S ee C olu mn C 2 ) U = B o o k V al ue V = O ~ h t "r W =Eslimatcd

E =$15.001 - $50.000

N a m e o f Person Report ing

\ V Il I P P L E , I IA R O L D " D E A N " D .

05/10/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income. ,’alue. ,r . . . . . , ions (Includes those of spouse and dependent children: see p p . 3 4 - 6 0 of f i l i ng i ns t r uct i on~ . )

"---] N O N E (No reportable income, assets, or transactions.)

A. B. C. D.

Description of Assets Incom e durin g G ro ss v alu e at end Transactions during reporting period

(including trust assets) reporting period o f r e p o r t i n g p e r i o d

i (I) (2 ) (I) (2) (I) (2) (3) (4) (5 )

P l a c e " ( X ) " a f t e r e a c h a s s e t i A m o u n t T y p e ( e .g ., Valu e Value T y p e ( e . g ., D a t e Value Gain I d e n t i t y o f

exempt from prior disclosure ~ C o d e I d i v . , r e n t , Code 2 M e th o d buy, se l l , m m ! d c Y y y C ode 2 C ode I bu y er/se lle r

, (A-II) o r i n t . ) ( J - P ) Code 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 ) t r a n s a c t i o n )

52 . B uy 05/28/10 J

53 . B uy 12/16/10 J

I. Income Gain Codes: A =$1.00~ or less B $1 .0 0 1 - $2 .5 0 0 C =52.501 - $5.000 D =$5.001 - $15.000

( S c e C olu mns BI and D 4 ) F =$50.001 - $100.000 G -$100.001 - $1.000.000 I I I =$1 .0 0 0 .0 Q I - $5 .0 ( ~.0 ~) 112 =More than $5.000.000

2. Value C o d es J = 515.000 o r le ss K =$15.1)01 - 550.000 L = $50.001 - $100.000 M = $100.001 - $250.000

(See Columns CI a n d D J) N = $250.001 - $500./~ 0 O = .$500.001 - $ I . O 0 0 . O 0 0 PI =$1.000.001 - $5.000.000 P 2 = $ 5 . 0 0 0 . 0 0 J . $25.000.0~

P 3 =$25.000.001 - 550.000.000 P 4 = M o re than $50.000.000

3. Value Mclhod Codes Q =Appraisal R ~os t ( R eal E s t a t e O nly ) S -A s s es s ment T ~ a s h M a r k c ~

( S ee C olu mn C 2 ) U = B o o k V al ue V =Olher W -E s t imated

E =515.001- SS0.0~O

\VH IPPLE, HAROLD "DEAN" D.

05/I0 /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 . (lndlcate part of report.)

Name of Person Repor ting

\ VH I P P L E , H A R O L D " D E A N " D .

Date of Repor t

05/10/2011

IX. CERTIFICATION.

I c e r t if 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 lu d i n g i n f o r m a t i o n p e r t a i n in 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 re n , i f a n y ) i sa c c u r a t e , tr 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 t a t u t o r yp ro v i s i o n s p e rm i t t i n g n o n - d i sc l o su re .

I f u r t h e r c e r ti f 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 ia a n d t h e a c c e p t a n c e o f g i f ts ~ v 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 ~v i t h t he p ro v i s i o n s o f 5 U . S . C. a p p . § 501 e t . s e q . , 5 U . S . C. § 73 53 , a n d J u d i c i a l Co n fe r e n c e r e g u l a t i o n s .

Signatu re: S/HAROLD "DEAN" D. WH IPPLE

N O T E : A N Y I N D I VI D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I F I E 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 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 tt e e o n F i n a n c i a l D i s c l o s u r eAdm ini s t ra ti ve Off i ce of t he Uni t ed S t a t es Cour t sSui te 2 - 301O n e C o l um b us C i r c le , N . E .W a s h i n g t o n , D . C . 2 0 5 4 4

Dean Whipple Financial Disclosure Report for 2010

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