8/3/2019 Howard E Sachs Financial Disclosure Report for 2009

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, ~ o 1 0 ] FINANCIAL DISCLOSURE REPORT R e p o , ~ R e q u i r e d b y t h e E t h i c sin Government Act of 1978t ~ , ~ , . 1 / 2 o / o [ FOR CALENDAR YEAR 2009 ~ s u . s .c , o p 1 ~ . s ~ . ~ I o 1 . 1 H )1. Person Reporting (last nmnc, firsL midd le initi~tl} 2. Cour or Or~n,izatiou 3. Dale ~f Rcp.~ t

Sachs, Ho~ard F. Weste~ District of Missouri 5/6/20104. Title (A~icle III judges indicate active or senior statu~: Sa. Relmrt Type (check appropr iate type) 6. Repor~in~ Periodmagistrate judges inGcate fifll- or pa,-time) 1 / 1 /2009~ Nomination, D ; ~ t e toSenior District Judge ~ ~iti~ ~ A . . . . . .~ ~ ~ : i ~ , ~

12/31/20097. Chambe~ or Office Address 8. On the basis of fl~e inforalafioa :~ataiued in this Repo~ and anymodif ications per tain ing thereto , i t i~. in my opinion, in complianceU. S. Courthouse w i t h z p p N c a b l e laws a n d r c z , h , ti o n s .~00 Ea~ 9~h S~r~e~, 5u~e ~462Kansas City, M0 64106 Reviewi~gOfficer D a t e

IMPOR TANT NOTES: The instructions accompanying this form m nst be followed. Complete alt part~,checking the NONE box for each part where you have no rcporlable informatiotr Sigtt ott last page.

I . P O S I T I O N S . e n , .p o . i, ,~ . i,,dividual only; see pp. 9.13 of fiti,tg i,,str,ctious.)~ N O N E (N o reportable positions.)

POSITION NAME OF ORGANIZATION/ENTt~J.a.__.Co-l~~~~~r~t ~ See Explanation

3 ~

i l . A G R E E N I E N T S . (gcportin.t. i,,di~.Muat o,,ly; see pp. 14.16 of fili,,g l ......... ions.)~ O N E (,No rel)orlable agreements.) -,; :-

D AT E PARTIES AND TERMS r-~

2.

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FINANCIAL DISCLOSURE REPORT N ..... r ~ ~ = o . . o p o ~ t i . = ~ , ~ , o o r t ~ . . ~ , , ,.P a g e 2 o f 6 Sachs, Howard F. 5/6/2010

I II . N O N - I N V E S T M E N T I N C O M E . ~R~por,~,,~ ~,,e~,,:,~,,~t.,o~,~ ...... ; ~ o p p . ~ 7 - ~ 4 o : ~ , ,~ ~ , ,~ . , ~ o , , ~ . ~A. Fliers Non-Investment Income

~ (No reportable income,)ONEDATE SOURCE AND TYPE I N C O M E

(yours, not spouses)

1.

2,

3.

4.

[~. S p o I1 S e s iN o I]1 - | n v e s t m e ii t ] i1 c o m e - lfyo u w ere married during a ,,y portion of the reporting ),ear, complete th is section.

~ N O NE (No reportable nun-im,esm~ent income.)DATE SOURCE AND TYPE

1,

2.

3.

4.

IV. REIMBURSEMENTS .......... ~ .......o , , . ~ o , t a . i , , ,. . y ~ , o a , . . . . .. . .i . . . . . . . .,.~ (No reportable reimbt.trseme~ts.)O N E

SO[IRCE D ATE S L O C A T I O N P U R P O S E ITEMS PAID OR PROVIDEDI.

2.3.4.5

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FINANCIAL 1)ISCLOSURE REPOR T NameolPerson ReporfinK Da,ofRel ,or~Page 3 of 6 Sacha, Howard F. 5/6/2010

V . G I F T S . rl, cz,,,~e,,~,,,,~,o.~,~ NONE (No reportable girls.)

S O U R C E D E S C R I P T I O N VALU~1.2.3

4.5.

V I . L I A B I L I T I E S . :t , , a ., ~ , ~ h o ~ , o ~ . , ~ , o , , ~ ~ , . . t d . ~ , ~ , , , ~ . . . . . ~ , i ~ , , ; . , . ~ , ~ , . . ~ - ~ 3 o ~ . m ~ , , g i , , ~ t : , , . i o , , ~ . ;[-~ N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODg

3 .4.

5.

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FINANCIAL DISCLOSURE REPORTP a g e 4 o f 6 Sachs, Howard F. 5/6/2010

V I 1 . I N V E S T M E N T S a n d T R U S T S - i ........... t,,,,, ......., i o , , , t , , c t , ,, : , . , t z , o s o y s p . . . . . . . . a d,~,,,d,,,, ~ , i ~ a ~ , , ,; ~ ,~ (No reportable btcome, c:~sets, or transactions.)ONE

A ~ B. C. D.Dcscrit~tion of A s s e t ~ Income dtll-i~g Gross ~ue zt cad Tr:,n~actions dt~ring reposing(i~cl.di:xg trus~ assets) ~ repo~i,~g peAod of repo~iog period

I~lncc "(X)" zfter e:,eh asset Amotmt Type ~e.g.. V ah m Value Type (e.g. Date Valuecxcmptfronapri t~rdisclosur [ C~c I i div..rent. Code2 Method buy. sell. mm!d~yy Code2 [ Code

1 . Co~erce Bank A Int. J T2. United blis souri A Int. K T3 . Isreal Bonds none J T

9/17. Con~nerce Money Market-IP~ A Int. J T Sel! 2009 M5. Commerce Bond Fund-I~ D Int. M T6 . 9/17/Evergreea Int. Bond A Div. K BuyT 2OO9 K7 . 9/~8/iShares Barclays B Div. L T Buy 2fl~9 L~. Pimco Emerging Local 9/18/

Bd Fund B Div. K T Buy 2009 K9/18d. Vanguard Inee~ed, Term Div. 20091 Korp Fund I171 B K ~ Buy

~.Vanguard Total Bond Marke~ Div. T 9/18/ KIndex Fund SiR B K Buy 2009Wells Fargo (old age) A Int. K T

12. Franklin US Govt Fd 11/3D i v . T L...........L. C ~)IUGX) C L Buy 2009~3-Tcmpleton Global Bond Div. T 11/3 KFund CL C B K Buy ~ 2009~ 4.Chesterfield MO ~acBonds B Int. K T~iEmpire District Electric B Div. K T o .16.~er. Cap. Strat- (ACAS) A Div. J T

~7. Biackrock Health Sc.Trust (B~) B Div. K T

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FINANCIAL DISCLOSURE REPORT N = ~ . o o r t o r . ~ , , , , * t ~ , , o r , i . ~P a g e 4 o f 6 Sachs, Howard F. 5/6/2010

V II. I~ESTMENTS and TRUSTS - i .......... ~ , , ~ , ~ . . . . .. . . i o , , ~ ~ , , ~ t , , , ~ . ~ a . . ..~ N O N E (No report**ble income, za~sets, or transactions.)

Description of Asse~ ~ lncome during Gross value ~t end Tr~ms~ct~ons d.fing repo~iag periodo~~,, , ,~,~,~ [ .. ._ ~ o ~ ! % _ ~ ~f~o~_ ..............................................................................C2) ~ O) ] (2)

......................................................... ................ L . . . . . . . .. . . . . . . . .1 ................. ........18. Hut Ser FD inc. Discov- A Div. K T19 First Trust - FGB A Div. D T20. Nuveen Mo Bonds D Int. L T21. Commerce MO Bonds C Int. L T22. Hanulife (Hancock) B Div. K T23 . LifeHet/ife A int. K T Ins.24 . Panerican Capital LTD -

Trust B (TB) A Div. J T transfer 8/1812009 J25, Blackrock Health 8/18,

Sciences Trust-TB B Div. K T kransfer 2009 K8 1 1 8 ,26. Chesterfield bonds-TB B Int. K T transfer 2009 K

127. Commerce MO tax free Int. T ~6~ Mbond f~nd - TB C M transfer28. Nuveen HO Bonds-TB D Int. M T transfer 8/13 M200929. Artisan Hed Cap Value T 9/22 jFund - TB A Div. J buy 200930- Blackrock Small Cap T 9/22Cro~ th Eq uity-TB A Div. j buy 2009 J31. iShares Russell Hidcap Div. 9/25,Value ind. Fund - TB A J T buy 2009 J32. iShares Russell i000 Div. 9/24Gro~th Ind. Fund-TB A K T buy 2009 K33. iShares Russell i000 Div. T 9/28~ K_ Value Ind. Fund - TB A K buy 200934. iShares Russell 2000 Div. T 9/24~ jValue Ind. Fund - TB A J buy 2009

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FINANCIAL DISCLOSURE REPORT . ~ a = 0 o f l r . ~ , , , , R e l , 0 r . . ~Page 4 of 6 Sachs, Howard J. 5/6/2010VII. INVESTMENTS and T~USTS --i . . . . . . . . . . ., ,~ . ,~ . . . . . . , ~ o , , , r~ , , ~ , , , ~ , ~ , o , ~ o f ~ o , , ., ~ , , ,e , ~ p ~ , , , ~ , , t ~ , i ~ , ~ , ~ , ,; ~ , , ~ . j ~ - ~ o

~ N O N E (?~o reportable incom e, assets, or transactions.)......................... L .......................................~ ..........7 ...........~S ...............................] t)c~;cr0tion of A~set~ Income during [ Gross vatue at end Tranxact~on~ d~ring ~c~on~ng pcr~od

~ (including trust ~ssc~s) repoaing pe6od l of report ing pe~odPlace "(X)" rff ......asset ~A,nount[ Type(e.g.. I Value [ Vzl~e "fvpc(e.g. Date } Varue loam

~ / [ / (Q-W) i /t ............................................................. ~ ........ I ............ t ............ t .................. 2 .. . . . . . . . . . ~ ..... ~ ..........................35. ~Shares SaP La~n ~. 9/24/ j~0 Ind. F~d - TB A Dfv. j T buy 200936. Norgan S~anley Inst. Fm~ 9/22/ jTB Trust ?Ifd-Cap Gro. Por~. A Dfv. J T buy 200937. Vanguard Emerg.}~t. 9/24/Vfpers-Btf - TB A Dfv. 3 T buy 2009 J38. Vanguard Europe Pae.- 9/23/ j~ [B A Dfv. j T buy 200939. Fimeo Co~odfty Dfv. T 9/21/Real ~et u~-rg A J buy 2009

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FINANCIAL D IS CL O S UR E R E P O R T , ~ ...... fPerson R.el, arting DateofRel,Or!P a g e 5 o f 6 Sachs, Howard F. 5/6/2010

VIII. ADDITIONAL INFORM ATION OR EXPLANATIONS.

of ~ [ revocable trust, creation of Irrevocable Trust B, with transfers in August 2009to corporate co-trustee with primary investment responsibilities.

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FINANCIAL DISCLOSURE REPORT , ~ . . . . . f ~ ~ , o . I ~ o . , o . i .~ ~ , t o f a c | , o r .Page 6 ot~6 Sachs, Howard F. 5/6/2010

IX. CERTIFICATION.I certify tbzt all information given above (including information 0ertMning to my ~pouse and minor or dependent children, if any) isaccurate, true, and complete to the best of my kno+vlcdge and belief, and that any information not reported was withheld becanse it met applic+~ble statutoryprovisions permitting non-disclosure.I further cert ify that e: lrncd income frnm ~utside employme nt and honoraria l ind t i le acceptance of gifts which have been reported are intompliance with tile provisions of 5 U.S.C. app. 501 el. seq., 5 U.S.C. 7353, and ,Indicial Conference regulations.

Signature

NOTE: ANY 1ND1VIDI!AL WIIO I-LNOWINGLY AND WILFIJIAA FALSII:II;S OR F:\II~S TO FILE Tills REiOP, T 3lAY BE SUB.Ii;CT TO CIVIL:\ND CP,151IN..\I. SANCIIONS (5 el.S.C, app. 104)

FILING INSTRUCTIONSMail s igned original and 3 add itional copies to:

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