Amul R Thapar Financial Disclosure Report for 2010

8/3/2019 Amul R Thapar Financial Disclosure Report for 2010

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I AO I0Roy. 1/2011 FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0 Report Required by the Ethicsin Government Act o fl978(5 U.S .C. app. ,,~q 101-111)I . P e r s o n R e p o r t i n g ( l a s t n a m e , f ir s t , m i d d l e i n i t i a l )Thapar , Amul R.

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

7. Chambers or Office AddressU n i t e d S t a t e s D i s tr i c t C o u r t31 0 S. Main Street, Suite 444London, Kentucky 40741

2 . C o u r t o r O r g a n i z a t i o nU,S, District Court EDKY

3 . D a t e o f R e p o r t04/29/201 I

5a. Report Type (check appropriate type)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. O n t h e b a s i s o f th e i n f o r m a t i o n c o n t a i n e d i n t h is R e p o r t a n d a n ym o d i f i c a t i o n s p e r t a i n i n g t h e r e t o , it i s , i n m y o p i n i o n , i n c o m p l i a n c e

w i t 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 .

R e v ie v , in g O f f i c e r D a t e

6. Reporting Period01/01/2010to12/31/2010

I M P O R T A N T N O T E S : T h e i n s t ru c ti o n s accompanying this form must be followe4 Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on last pag~

I . P O S I T I O N S . R e p o , ,i ,g i n a l v ~ a u o t o n l y : s e e p S . 9 4 3 of filing instructions,)~ (No repo rtable pos i t ions .)ONE

POSITIONI. National Advisory Council2. Board Member3.

4.

5.

NAME OF ORGANIZATION/ENTITYNorlh American South Asian Bar Associalion

Northern K e n t u c k y Catholic Charities

I I . A G R E E M E N T S . ( g ~ p o , ~ n g i n a i v i a u a t o . l y : s ~ , , , p . t 4 - 1 6 of filing instructions.)V~ NONE (No reportable agreements.)

D A T E PARTIES AND TERMS


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FINANCIAL D ISCLOSURE REPORTPage 2 of 9

N a m e o f P e r s o n R e p o r t in gThapar, Amul R.

D a t e o f R e p o r t04/29/2011

I I I . N O N - I N V E S T M E N T I N C O M E . ( X e p o m n g i . d i v l d u a t o n d s p o u s e ; s e e p p , t 7 - 2 4 of filing instructions.)A. Fliers Non-Investment Income

~] (No reportable income.)O NE non-investmentDATE SOURCE AND TYPE

2.3.4.

INCOME( y o u r s , n o t s p o u s e s )

B . S p o u s e s N o n - l n v e s t m e n t I n c o m e - If you were ma rried during any portion of the reporting year, complete this section.(Dol lar amount not required except f or 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, entertainment:(Includes those to spouse and dependent children," see pp. 25-27 of f il ing instructions.)

NONE (No reportable reimbursements.)SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

I. University of Virginia Law 2/I 8/2010 to Charlottesville, VA Judged Moot Court at Law Travel, meals, hotelSchool Moot Court 2 /21 /2 010 School2. Nort h A m e ric an Sou th A si an 6 / 24 / 2 0 10 to Boston, MA S pea ker , m eetin gs, an d T ra vel , m ea ls, h ote lBar Conference 6/27 /2 01 0 moot court judge3. Chicago Indian Am er. Bar 9/25/2010 to Chicago, 1L Speaker at both conferences Travel, m eals, hotelAssoc and Korean Amer. Bar 9 /26 /2010Assoc4. O hio State Asian Am erican 10/18/2010 Colum bus, O H Speak er Travel and mealBar Association5. North A merican Pacific Asian 11/I 8/2010 to L os A ngeles, CA Speaker and m oot court T ravel, m eals, hotelBar A ssoc 11/21 /2010 judge


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FINANCIAL DISCLOSURE REPORTPage 3 of 9

N a m e o f P e r so n ReportingThapar , Amul R.

Date of Report04/29/201 I

V . G I F T S . a n c l u d ~ , h o , e t o s p o ~ , e o n d dependent children: see p p . 2 8 - 3 1 of f i l ing instruction~.)N O N E (No reportable gifts.)

SOURCE DESCRIPTIONI.

2.

3.4.5.

VALUE

V I . L I A B l L I T I E S . a n c l , d e , th o s e of spouse a n d dependent children; see p p . 3 2 - 3 3 of filing i n s t r u c t l o n & )N O N E (No reportable liabilities.)

CREDITOR DESCRIPTIONI.2.3.

4.5.

VALUECODE


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Date of Report04/29/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i .c o ,, ,o , . o ~ , , ~ , t . o , ~ o a i o n ~ a . c l u a . s , h o s e o / s ~ o . ~ ~ . a a . ~ , . . a e . t c h i l d r e . ; s e e p p . 34-60 of filing instructions.)[] (No reportable asse ts , orO NE income, t ransact ions .)

Description of Assets Transactions during reporling period(including trust assets)

Place "(X )" after each assetexempt from prior disclosure

Incom e during G ross value at endr e p o r t i n g p e r i o d of reporting period

(1) (2) (I) (2) (I ) (2) (3) (4) (5 )A m o u n t T yp e (e . g . , Value Value T y p e ( e . g . , D a t e Value Gain I d e n t i t y o fCode I d i v . , r e n t , Code 2 M e t h o d buy, sell, mm/dd~y Code 2 Code I buy er/seller(A-H) 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 )

I. ING Direct Accounts A Interest2. Vanguard Pr ime Money Market A Interest

3. TD Bank USA (Ameritrade Money Market) A Interest

4. Fifth Third Bank (Checking Acct.) A Interest

5. Paypal Inc. (Money Market) A Interest

6. A utozone Inc. (A ZO ) Com m on None

7. Under Armour (UA) Common None

8. Nuance Comm. Inc. (NUAN) Common None

9. Select Comfort Corp. (SCSS) Comm on None1 0 . Volcom Inc. (VLCM ) Common None

1 1 . Dreamworks Animation (DWA) Common None

1 2 . Accenture Ltd (ACN ) Common A Dividend

1 3 . Dawson Geophysical Co. (DWSN) Common None

1 4 . Hu s s man S t r a teg ic G ro w t h Fu n d ( HSG FX ) A Dividend

1 5 . Ll o yd s TSB G ro u p ADR ( LYG ) A Dividend

1 6 . Grupo Areopor tuar io Del Pac (PAC) A Dividend1 7 . Zumiez Inc. (ZUMZ) Common None

K T

J T

J T

J T

J T

J TJ T

J T

Sold 12/29/10 J

Bu y 0 8 /0 3 /1 0 J

Sold 07 /26 /10 JSold 07 /26 /10 J

Sold 12/29/10 J

Sold 12/29/10! J

Sold 12/29/10 J

Sold 12/29/10 J

Sold 12/29/10 JSold 12/29/10 J

B

A

AA

I. Income Gain Codes: A $1.00 0 or less B =$1.001 - $2 .500 C =$2 .501 - $5 ,000 D =$5.0~1 - $15.000(See Columns B I and D4) F =$50.001 - $100 .000 G =$100 .001 - $1.000 .000 Ill = $1 ,000 .001 - $5 .000 .000 112 =More lhan $5 .000.00~

2 . V alue Codes J =$13 .000 or less K =$15.001 - $50 .000 L =$50.0~1 - $100.000 M =$100.001 . $250.000tSee Columns CI and D3 ) N =$250 .001 - $500.000 O =$500 .001 - $1.000 .000 PI =$1,000.t~O | - $5.000.000 P2 =$5.000.001 - $25.000.000

P3 =$25.000.001 - $50.000.0~0 P4 =More lhan $50.00~.0003, Value M ethod Codes Q =Appraisal R =Cosl (Real Estate Only) S = Asscssn~oll T ----------~Cash Markcl(See Column C2) U Book Value V =Olhcr W =Eslimaled

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


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FINANCIAL DISCLOSURE REPOR TPage 5 of 9

N a m e o f P e r so n ReportingThapar, A m u l R .

D a t e o f R e p o r t04/29/201 I

V I I. INV ESTM ENTS and TRUSTS - inc .....l u e , t r a n s a c t i o n s ( I n c lu d e s t h o s e o f sp 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 . 3 4 - 6 0 o f f i l in g i n s t r u c t i o n s . )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 t s T r a n s a c t i o n s d u r i n g r e 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 )P l a c e " ( X ) " a f t e r e a c h a s s e t

exempt from prior disclosure

Income duringreporting period

O) ( 2 )A m o u n t T y p ~ ( e . g . ,C o d e I d i v . , r e n t ,( A - H ) o r i n t . )

Gross va lue at endo f r e p o r t i n g p e r i o d(i) (2)Value Value

C o d e 2 M e t h o d( J - P ) C o d e 3

( Q - W )

(I )T y p e ( e . g . ,b u y , s e l l ,r e d e m p t i o n )

(2) (3) (4) (5 )D a t e V a l u e G a i n I d e n t i ~ y o f

m m / 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( J - P ) ( A - H ) ( i f p r i v a t et r a n s a c t i o n )

1 8 . Nintendo Corpora t i on (NTDO Y) Common A Dividend1 9 . MarvelCorp. (MVL) Common None20 . Chipotle Mexican Grill Inc. (CMG/B) None

Common21 . Columbia Sportswear Co. (CO LM) A DividendCommon22 . MiddelbyCorp.(MIDD) Common None23 . Wexford TR Muhlenkamp FD (MUHLX ) A Dividend24 . Portfolio Recovery Assoc. (PRAA) NoneCommon25 . Disney Corp (D IS) Common A Dividend26 . Activision Blizzard, Inc. (ATVI) Common A Dividend27 . Sun Hydraulics Corp. (SNHY) C ommon A Dividend28 . A m azon (A M7N) Com m on None29 . Labcorp H oldings (L H ) Com m on None30 . Fannie Mae(FNM) Com mon A Dividend31 . Hasboro Corp. (HA S) Common A Dividend32 . Home D epot Inc. (HD) Common A Dividend33 . Montpelier Re H oldings Ltd (MR.H ) A DividendCommon34 . Sanderson Farms Inc. (SAFM) Common A Dividend

J

J

JJJ

JJ

JJ

TRedeemed 01 /04 /10

TSold 12/29 /10 : J ASold 12/29/10 J CSold 0 8 /0 3 /1 0 JSold 12/29/10 J A

TT

Sold 12/29/10 J AT Buy 12/31/10 JT Buy 12/31/10 JT

T

T

TT

I. Income G ain Codes: A =$1 .000 or less B =$1 .001 - $2 .500 C = $2 .501 - $5 .000 D =$5.001 - $I 5 .000(See Columns B I and IM) F =$50.001 - $ 100 .000 O =$100 .001 - $1.000.000 I t I = $ 1 .0 0 0.0 0 1 - $ 5 .0 0 0. 00 0 1 12 = Mor e t ha n $ 5. 00 0 .0 00

2. Vaha: Co~:s J = $15 .000 or less K = $15 .001 - $50 .000 L = $50 .001 . $100 .000 M =$100.001 - $250.000(S~.~ Columns CI and D3) N =$250 ,001 - $500 .000 O ~$500 ,001 - $1,000 .000 PI =$1 ,000 .001 - $5 .000 .000 P2 =$5.0~0,001 - $25,000.000

P 3 = $ 2 5 . 0 0 0 . 0 ~ 1 - $ 5 0 . 0 ~ 0 ~ 0 0 0 P4 ~More lhan $50.000,0003. Value Method Codes Q =A ppraisal R =Cost (Real Estate Only) S = Asscssmcnt T =Cash Markcl1See Colum n C2) U =Book V alue V - - O ~ h e r W Estimated

E -$15.001 - $50,000


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D a t e o f R e p o r t04/29 /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 .c o m e , v a l u e , t r a n s a e , i o ,~ a n c i u d e s t h o s e o / s p o u s e a . d dependent children; see p p . 3 4 - 6 0 of filing instructions.)[] (No repo r tab le income , a sse t s, orO NE transactions. )

Description of Assets Transactions during reporting period(including trust assets)

P l a c e " ( X ) " a f t e r e a c h a s s e te x e m p t from prior disclosure

35 . United Fire & Casual ty Com pany (UFC S)Common36 . Applelnc. (AAPL) Common

37 . Berkshire Hathaw ay Inc. D el Class B(BRK.B) Com m on

38 . Costco Wholesale Corp. (CO ST) Common

39 . Cryptologic Inc.(CRYP) Com mon

40 . E xxon M obi l Cor p (XO M ) Com m on

41 . F lam e l Tec h Spon ADR (F L M L ) Com m on

42 . ]ntel Corp. (INTC) Common

43 . M arke l C o rp . ( M KL) C o mm o n

44 . Microsoft Corp. (MSFT) Com mon

45 . Buffalo Wild Wings (BWL D) Comm on

46 . CTRIP.com International(CTRP) Com mon

47 . Formfactor Inc. (FO RM) Comm on

48 . Inventiv Health Inc. (VTIV) Common

49 . Southwest Air lines (LUV) Comm on

50 . Rofin-SinarTechnologies Inc. (RSTI)Common

51 . United Health Group lnc. (UNH ) Common

Income during Gross value at endreporting period o f r e p o r t i n g p e r i o d

(I ) (2 ) (l ) (2 )A m o u n t T yp e (e . g . , V alue V alueCode I d i v . , r e n t , Code 2 M e t h o d(A-H) o r in t . ) ( J - P ) Code 3( Q - w )

A Dividend J T

None J T

None K T

A Dividend J T

A Dividend J T

A Dividend J T

N o n e J TA Dividend J T

None J T

A Dividend J T

None J T

A Dividend J T

None J T

None

None J T

None J T

A Dividend J T

(1 ) (2) (3) (4) (5 )T y p e ( e . g . , D a te Value Gain I d e n t i t y o fbuy, sell, mm/dd!yy Code 2 Code I buycr/seller

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

Sold 04/26 /10 JB u y 04/26 /10 J

1 . Incom e G ain Codes: A =$1,000 or less B =$1,001 - $2 .500 C =$2 ,501 - $5 ,000 D =$5,001 - $15.000(5 Colum ns B 1 and 1 )4 ) F =$5 0.0 01 - $ 10 0,0 0~ G :$1 00 .0 01 - $ 1.0 90 .0 ~0 I I I = $ 1 .0 00 .0 0l - $5 .0 00 .0 00 1 12 =More th an $ 5.0 (~ ,0 00

2 . V alue Codes J =$15 .000 or less K =$15 .001 - $50 .000 L = $50 ,001 - $100 .0~) M =$100 .001 - $250.000(See Columns CI and D3) N =$250.001 - $500.0~0 O =$50~.001 - $1.000.000 p I =$1.000.001 - $5.000.000 P2 $ 5.00~.001 - $25.000.000

P3 =$25.000,001 - $50.000.000 P 4 = M o r e w h a n $ 5 0 , 0 0 0 . 0 0 03. Value M ethod Codes Q =Appraisal R = Cost ( Rea l E sta te O nly ) S = Assessm ent T =Cash Markel(See Cohtmn C2) U =Book Value V =Olh,.r W =Estimated

E =$15.001 - $50.000


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D a t e o f R e p o r t 04/29/201 I

V II. INV ESTM ENTS and TRUSTS - i .... e, sa lue, t ransact ions ( lnc lud~ those o f spouse and dependent children; seepp. 34-60 of f il ing instruction~.)D (No reportable asse ts , orONE i ncome, transactions.)

P l a c e " ( X ) " a f t e r e a c h a s s e te x e m p t f r o m p r i o r d i s c l o s u re

A. B. D.Description of Assets Income during Transactions during reporting period

(including trust assets) reporting period! (0 (2)! Amount Type (e .g. ,Code I div., rent,( A- H ) or int.)

52 . Altr ia Group Inc. (MO ) Common A Dividend53 . Chesapeake (CHK) None

54 . Federated Investors Inc.(FII) Common A Dividend

55 . Pfizer Inc. (PFE) Com mon A Dividend

56 . Kraft Foods Inc. (KFT) Common A Dividend

57 . Medco Heal th Solut ions (MHS) C omm on None

58 . Phillip Morris International(PM) A Dividend

59 . McDonalds (MCD) Comm on A Dividend60 . National O i lwel l Varco, Inc. (NOV ) A DividendCommon61 . No ki aC o rp ( NO K) C o mmo n None62 . Vanguard 500 Index Funds A Dividend63 . Vanguard Windsor Portfolio A Dividend

G r o s s value at endof reporting period(]) (2)

V alue V alueCode 2 Method

(J-P) Code 3

J T

J T

J T

J T

J T

J T

J T

J T

J T

J T

J T

J T

(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, sell, mm/dd~y Code 2 Code I buy er/sellerr 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 )

Please see Section VIII

I. Income G ain Codes: A =$1 ,000 or less B =$1 .001 - $2 .500 C = $2 .501 - $5 ,000 D =$5 ,0~1 - $15 ,000(S Columns BI and IM) F =$50.001 - $100.000 G =$100.001 - $1.000.000 Il l ~$1.00~.001 - $5 .0~).000 112 =More Ihan $5.000.000

2. Value Codes J =$15.000 o~ less K =$15.0~1 - $50.000 L :$50 .001 - $100 .000 M =$100 .001 - $250 .000(See Columns CI and D3) N -$250 .001 - $500 .0~0 O =$50~.0O I - $1.00~.O 00 PI =$1 ,000 ,001 - $5 .000 ,000 P2 =$5.000,001 - $25.000.00~

P3 =$25.000.001 - $50.000.000 P4 =More than $50.0~L0003. Value Method Codes Q =Appraisal R =Cost I Rcal Eslatc Only) S =Ass,cssment T =Cash Market(See Column C2) U -Book Value V = (hhcr W =Estimated

E =$15,001 - $50.000


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N a m e o f P e r s o n R e p o r t in gT h a p a r , A m u l R .

D a t e o f R e p o r t04/29/2011

V III. ADDITIONAL INFORM ATION OR EX PLANATIONS. (lndicatepartofrepor~-)The V anguard Windsor Fund is part of a 529 . We invest monthly 1 was not sure how to reflect this on thestatement. Also, we opened these in late 200 8, and they became repor table in 2009 , but I believe they were mistakenly lef t offmy 2 009 Repor t.


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Name of Person ReportingT h a p a r , A m u l R .

Date of Report04/29/201 I

IX. CERTIFICATION.I certify that all information given above (including information pertaining to m y spou se and m inor or dependent children, if any) isaccurate, true, and complete to the best of my know ledge and belief, and that any information not reported was withheld becau se it met app licable statutoryprovisions permitting non-disclosure.I further cert ify that earned income from ou tside employ ment and honoraria and the acceptance of gifts w hich hav e been reported are incompliance with the provisions of 5 U .S.C. app. 5 01 et . seq. , 5 U.S.C. 7 35 3, and Judicial Conference regulations.

Signature: S] Am ul R. Thapar

N O TE: A N Y I N DI V I DU A L WHO K N O W I N G L Y A N D WI L F U L L Y F A L S I F I ES O R F A I L S TO F I L E THI S R EPO R T M A Y BE S U BJEC T TO C I V I LAND CR IMINAL SANCT IONS (5 U.S.C. app . 104)

Committee on Financial DisclosureAdm inistrative O ffice of the Un ited States CourtsSui te 2-30 1One Columbus Circle, N.E.Washington, D.C. 20544

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Amul R Thapar Financial Disclosure Report for 2010

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