Amul R Thapar Financial Disclosure Report for 2009

8/3/2019 Amul R Thapar Financial Disclosure Report for 2009

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l , ~ o ! 0 1 FINANCIAL DISCLOSURE REPORT t ~ q , o , - , R e q u i r e d b y t h e E t h i c s "¯ in Government Act q]1978

R~, , r , ’2m o [ FOR CALENDAR YEAR 20119

I. Person Reporling (la:;t name. first, middJe initial) 2. Cour t or O rganization 3. Date of Repor t

Thapar, Amul R. (JS. Distric! Court EDKY 04/25/2010

4. Ti[le (Article Ill judgc~ indicate active or senior status; 5a. Rcpor~ "l’)pe (check apprepriate bpc} 6. Reporting Period

~ Nomination. Date 01/01/2009

1 2 ; 3 1 t 2 0 0 9

5h. ~ Amended Report

7. Chambers or Office Address : 8, On let . basis of the informallon cunlained in this Rt’pur l and arDmc,di f ica t ions pcr la ining lhcre to, i l i s , i n m y opinion, in compliance

United Stules Dist r ic t Cou~ ~ill~ applicable law~ and regulations.

310 S. Main Strect, Suite 444London, Kentucky 41)741

Rt, vie~ving Officer Dale

IMPO R TANT NO TES: the instructions acconqm n_ring this Jor m m u.¢t be f idluwed. Conqdete all parts ,checking tire NONE boxJbr each part where you have no reportable #~formation. Sign on last page.

1 . P O S I T I O N S . (Reporting individuM only; ~ee pp. 9-13 of filin.e in.structb,,,a.)

[~ N O N E ( N o rep o r t a b l e p osi t ion s . )

POSITION ~ N A M E O F O R G A N I Z A T I O N /E N T I T Y

l. Natmnal Advisory Council Ntuth American South A~ian Bur Association

2. Adjunct Professor {Spring 2009) Ciaase College of Law

;..~

~] N O N E ( N o reportable agreements.)

D A T E P A R T IE S A N D T E R M S

I.



FINANCIAL DISCLOSURE REPORT,~ .......]~ ..... Rt, portlng Date , , fR tpor l

Page 2 of 1 0 ~ ’ ,~ p a r , A m u ~ R . O V Z S / 2 0 ~ 0

111. N O N - I N V E S T M E N T I N C O M E . ¢Revo,,i,,x

A. Flier’s Non-Investment Income

N O N E (N o reportable non-investment income.)

~ S O UR C E A N D T Y P E I N C O M E(yours. not spouse’s}

I. 5.,’2009 Chase C~:tlegc ul" La;,. Saiary tbr Teaching Course $2,000 00

2.

3.

4.

B . S p o u s e ’ s N o n - I n v e s tm e n t I n COIIle - l]’you ,vcre married during uny pt,rtion ol’the r~’porti~g year, romplete this sectiort

[ N O N E (No reportat~lt’ mgn-ittvestme~t income.)

D A T E S O [ ,J R C E A N D T Y P E

I.

2.

3.

4.

IV. REIMBURSEMENTS

~ N O N E ( N o reimbursement .~’ .)

SOURCE D A T E S [_OCAT1ON P UR P O SE ]T E MS PA ID O R PR O V ID E D

I. Washington and Lee Sot t lh l ~23~ 20~t9 to l.exington. VA Key note speaker 7 ravel, mt’als, hmel

A s ~an L aw SludenlAssoc ialion

2. Universi ty of Virginia I_aw 2/20,"2009

School Moot Coral 2 / 2 2 / 2 0 0 9 School

3. N e w [:n gla nd l~ ax~ Sc ho ol 3 ;I S:20 t!9 to Boston, MA Speaker at Law School Travel. meals, hotel

Federa l i st Socie ty 3’ 1 q/2009

4. Unwcrslty of Pcnnsylxania 3..5’26;2009 Io Plf iladelphia. PA Keyonte Speaker at Travel. meals, hotel

Souih Asian l.aw Smdcn~ 3’2772009 ba~quet

Association

5. Duke UmvcrsiD’ Federalist I;~ t/20{19 to 4/I ?20tlq Durham, NC gpokc to Fed. Soc g~oup Travel. meals, hntcl

Soc:c ty and South Asian Law



FINANCIAL DISCLOSURE REPORTN ......fP ..... Reporling Da~eMIleport

Page 3 of 10[ T,~p~ , a,-.,a ~.

o ~ / 2 5 ~ 2 o ~ o

Students Assoc

6. Yalc Law School 4/28/2009 to Ncw tlaven, CO Judged mock trml Travel, meals, hotel4 /29/2009

7. American Bar Association 4130/2009 to 511i2009 Atlawta, GA spcaker at convent ion Traw.’l, meals, hotel



Namc of Person Repor t ing Date of ReportFINANCIAL DISCLOSURE REPO RT

I r h a p ~ , r ,, ~ lu ~ r ~ .Page 4 of 10 ~ J ~ 2 . ~ , - _ o ~ o

’~’. G I Fq’S. (Inclt, de., ,has,, to sp ........ d depe,,d,’,,, ehildte,,: see pp. 2S-31 ~fJiling i,,~tructio,,s.J

NONE (No reportable g~Bs.)

SOURCE DESCRIPTION VALUE

1.

3

4.

5

V ! . L 1 A B 1 L 1 T ! E S . a , , . ~ , ~ , , t l, o . , ., , 4 , p . . . .. . .. ~ del, ende,,t childr,’n; .,ee p p . 3 2 - 3 3 o]~[iling instrurtionx.}

N O N E (No reportable liabiiities.)

CREDITOR DESCR1 PT1ON VALUE CO DE

I.

2 .

3,

4.

5 .



IN.... f P .....Repor t ing

] Date of Rcpor~

FINANCIAL DISCLOSURE REPORT

] Thap ....

~,mul R. 04 /25/2010Page 5 of 10

V 1 i. I NV ESTM EN TS an d TRU STS - i .......... . a ; . ~ , , ...... ,i,,,u (~n,’t, aes a,,,se of.w ......a & , p e n a , ,m d , i l a . . . . . . . .. . p p . S 4 . ~ O o ¢ f i t i n g

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

ADescription of Ass s ] Inceme during Gross ~ aluc al end Transacfimas during rcpo~ttng period

(including trust assets) ~ reporting permd of reporting period

Place "(X Y’ allcr each asscl [A m ount [ T }T c ( e g . Value Value Type {c .g, Date Value Gain ’ Identity of

Code I di~ ., rent. Code 2 Method buy, sell. mm,’dd3y (’ode 2 { Code I buyer/sellere~cmpt l~om prior disclosure~ (A-ID i or im.) U-P) . Code 3 i redemptiont (J-P) . (A-II)

~(if private

................... l ;(Q-W)

_ ~~ I lransacdon}

I. ING Di re ct Accou n t s B Interest K T

2. Vanguard Prime Money Market A I ra es t J T

3. TD Bank USA (Amcritradc Money’ Market) A Imercst K T

4. Fifth Third Bank {Checking Acct,) A Interest J T

5. Paypal Inc. (Money Market) A Interest J T

6. Autozonc Inc. (AZOI Common None J T

7. Nuance Comm. Inc. (NL!AN) Common N o n e J T

8, Selcct Com|brt Corp (SCSS) Common None J T

9. Volcom Inc. (VLCbl) Common N,mc J f

1 0 . Dreamworks Animation (DWA) Common Nonc J T Buy 5 : ’ 1 3 0 9 J

11. Acccnturc Lid (ACN) Common A Dividend

12. Day, sun Geophysica l Co. I D\;’SN} C t , mmo~ N o n e J T I

I13 Elccuo Scientific |ndus. Inc. (ESIO) None Sold 5q3,09 J

14. I lassman Slratcg~c Growth Fund (IISOFX) A Dividend J r

1 5 . [.Ioyds TSB Group ADR (LYG) A D~vidcnd J "I

16. Gmpo Arcopor~uado Dcl Pac (PAC} A Dividend J T ,

I 7. Zumicz Inc. (ZUMZ) Common N o n e J l ]



Page 6 of 10 T U o p . . .. \ m u l R . 0 4 / 2 5 ’ 2 0 1 0

N O N E ( N o reportable income, assets, or transactions.)

-,~ .... ~ .... c. ............... DDescfiplion of Assets Income during Gross ~alue at c~ I Transactions during rcporling

0ncluding Imst ~sscls) rep ortin g pe riod o f re po rtin g p eriod

Place "(X lII aflcr each asset ~Amount Type {c g. Value £ Value T~c (cIg., Date VMuc ~ (Jam ldemity ofC o d e ~ : div , ~cnL C o ~ c 2 M ~ l h o d i b u y . s ~ l l. [ m m d d d i y y ~ C o d e 2 C ~ d c I~cmp~ t h m ~ prior disclosure

l (A-t[)or int.) (J-P} [ Code 3 redemption) (.l-p} {A-tl) (ifpnvate

~ ~ IQ-W) ~I lransacfion)

18, Nimendo Corporation tN]DOY) Common A DNi dcnd J T Bu y 5;’13,’09

19 Mar~cl Co~. (MVL) Common N o n e J T Buy 5/13/09

2 0 . Actlvdentity Corp. {A CTI) Common None Sold 0 5 / 1 5 : 0 c ~

2 1 . Chipotle Mexican Grill Inc. {CMG~B) None l TCommon

2 2 . Columbia Sportswear C o . (COLM) A l)iv~dcnd J T

2 3 . Endurance Specialty ttoldings (ENIO A Dividend Sold 5/15/09

2 4 . Middetby Corp. (MIDD) Common None J T

25 . Wexford TR Muhlenkamp FD (MUHLXJ A l)ividcr.t J T

2 6 . New York & Company tN\V’{) C o m m o n None Sold 5;13’09

2 7 . Portfolio Recovery Assoc. IPRAA) None J T

2 8 . RC2 Corporation (RCRC) Common None Sold 5q 3;’09 J

29 . l)isne~ Corp (DIS) Common A Dividend J T Buy 5/13’09 J

3I ) Acti’.ismn llhzz:lrd, Inc. !AIVI) ( ommon A Dividend J T Bu y 6/!9/09 J

3 I. Sun Hydraulics Corp. (SN tlY) Common A Di,,idcnd J T

32 . Fannie Mae (FNM) Common A Dividend J T

3 3 . Hasboro Corp. OIAS) Common A Di’,idcnd J T Buy 10/27/09 J

34 . Home Depol lnc IHD) Common A Dividcnd J F



FINANCIALDISCLOSURE REPORT

Page 7 of 10 04/25i2010

V I I . I N V E S T M E N T S and TRUSTS - ~,,. ........ ~., ....... ~ 0 ~ , ( l , ,t lude* t h o * e , , f s p ...... d dq,end ......i tdren; s e e p p . 3 4 - 6 0 of lili, ,g instructions.)

N O N E (No reportable inconte, as.~ets, or transactions.)

A. ~ B. C. " ~ -

Description of Assals ~l~come during (3ms~ value at end Transaclior~s during reporting period

(including tn~st usscts) reposing period of reporting period .... ................

Place "{ X)" ;flier each asset Amount "[lypC (c.g Value Value Type Ic g. Date Value Gain Identity of

Code I i ~ - -xempt t?om prior disclost~re div.. rm~t. C o d e 2 Method buy. ~elL mm"d~U~y Code 2 Code I buyer~scBer

~A-tl) ~ or int.) (J-P) Cudc 3 redemption) (J-P~ ¢A-II) (if private

’ ~Q-W) tran~actionj

~35. Montpelier Re Holdings Lid (MRH) A Dividend J T

36 . Sanderson Farms Inc. (SAFM) Common A Dividend J T

37. United Fire & Casualty Company (UFCS) A Dividend J T

C o m m o n

38. .Apple Inc. (AAPL) Common N o n e J T B~ y 12/29/09

?,9. Berkshire I lathaway Inc. Del (’lass B N o n e K T Bu y 5.’22.’.19

I BRK .FU C ommon (add’ l)

40 Celsslar Corp. (CLST) Common N one Sold 5115/09

41 . Costco Wholesale Corp. (COST) Common A Dividend .I T Bu y 5. ’26;09

42 . Cryptologic Inc. ¢CRYP) Common A Dividend J T

43 . Exxon Mobil Corp (XOM) Common A Dividend J T Bn y 5; 12.’09 J

44 . Flamel Tcch Spon ADR (I"I.ML) Common N o n e ,I

45 . Freightcar :\merica Inc. (RAIL) Common A Dividend Sokl 5 15

46 . Intel Coq}. (INTC) Common A Di;idcnd J T

147. Markel Co,p. (M KL) Commot, N o n c J T

! 48 Microsoli (’orp. (MSI:/I Common A Dividend J "l1

49 . Buflhlo Wild Wings {BWLD) Common N o n e J T

50 . CTRIP.com International (CTRP) Common A Dividend .I T

5 I . Formfactor Inc. (t"ORM) Common Nor_e J T



Name of Person Reporl ing]

Date of ReportFINANCIAL DISCLOSURE REPORT ¯

Page 8 of 10 Th~p~r. .~. , ,~,1 r.

[

0 4 ! 2 5 / 2 0 1 0

VI I . l NV ES TM E N TS a n d T R U STS - i .. .. .. .. .. .. ~ . , , ........z ~ , ~ a ~ . ~ a , . ~ . . 4 . v . . ~ . ~ , , ~ ~ e ~ , , , , * ~ u . o ’ ~ . . .~ e . ~ - ~ o L p . ~ ~ . . . .. ..

~ N O N E ( N o reportable income, a s~ e zx , o r transaclio.s.)

~ .......( i n c l u d i n g I/t lSl aSSClS’) rcporlitlg period : of reporting pcri~

Place "(XY’ after each asset Amuunt T)~e W g, [ Value i Value Type (e .g. Date Value , (iron Identity of

excmpl tkom prior disclosureCode i div.. rein,

[ (’ode 2Method buy, ~ell. mm’d~)T Code 2

~ Code Ibuycr:setler

(A-Ill or int.I

~ 1 _ ( J - P )

i Code 3 redemption} O-P) IA H) {if private

IQ-W) i transactiutO

52 . Invenliv ltcalth Inc. ~VTIV) Common N o n e J T

5 3 . Rofin-Sinar "rechnofogies I n c . (RSTI) None J T

5 4 . Unico Amern Corp. (UNAM ) Common None Sold 5 ; ’ 1 5 / 0 9 J

55 . United Health Group Inc. (UNID Ctnnmon A Dividend J T

56 . Ahria Group Inc. (MO) Common A Divideod J T

5 7 . Che~upcake (CHKI None J I"

5 8 . Federated Investors Inc. {FII) Common A Di\qdend J T

5 9 . l’fiTer Inc. (PFE) Common A Di,.’!dend J T

6 0 . Kraft Foods Inc. (KFT’~ Common A Dividend J T

6 1 . Mcdco Iteahh Solutions (MILS) Common None J T

62 . Fhii!ip Morris lntcro:ltional IPM) A DIvidend J T

63 . Mcl)onalds (MCD) (’ommon A Dividend J T

64 . National (.)i!~ell Varco. Inc. (NOVI A Dividend J I Bu y 5115(19 J

65 , Nok~a Co~p tNQK)Common N o n e J T

66 . Vanguard 500 Index Funds A Dividend K T

67.



FINANCIAL DISCLOSURE REPORT s ...... [P .....Repor ting[

Date of Repor t

Page 9 of l 0 T J , a p ~ r . , ’ ,. , ,. ~ R .

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.



FINANCIAL DISCLOSURE REPORT r~ .... f P , . . . . a ~ p o ~ t i . g o , t , o f R ~ p o r ,

Page 10 of 10 r h a ~ . . . . A m u ! R . 1 1 4 / 2 5 / 2 0 1 0

IX. CERTIFICATION.

I certify that all informalion given ahove (including infnrmalion pertaining to my spouse and minor or dependent children, if any) isaccurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it ~ncl applicable statutory

prn~isions permitting nun-disclosure.

I furlhcr certify that earned income from outside employment and honoraria and the acceptance of gilt$ ~ hich have been reported are incompliance ~*ith the provisions of 5 U.S.U. app. § 501 ct. seq., 5 U.S.(’. § 7353, and .ludicial Conference regulation\.

N OTE: AN Y INDIVIDUAL WIIO KNOWIN GI.Y AND WI1.FULLY FALSIFIES OR FALLS TO FILE Ti l lS REPORT M AY BE SUBJECT TO CIVIl+AN D CRIMINA l, SAN CTION S (5 U.S.C. app. § 1O4)

F IL I N G I N S T R U C T IO N S

Mail signed ot+iginal and 3 add itional copies to:

Comm ittee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle , N.E .Washington, D.C. 20544

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Amul R Thapar Financial Disclosure Report for 2009

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