8/3/2019 Howard F Sachs Financial Disclosure Report for 2010

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I AO I0Rev. 1/2011 FINANCIAL DISCLOSURE REPO RTFOR CALENDAR YEAR 2010 Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app..~;.~ I01-111)I , P e r s o n Reporting (last name, first , middle init ial)

Sa ch s , H o w a rd F .

4. Title (Article III judges indicate active or senior status;magistrate judges indicate full- or parbtime)Senior Distr ict Judge

7. Chambers or Off ice AddressU.S. Courthouse400 Ea st 9 th Street , Suite 7462Kansas City, Mo. 64106

2. Court or O rganizat ionWestern Dis trict of Missouri

3. Date of R e p o r t05/31/201 t

5a. Report Type (check appropriate q.pe)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5 b . [ ] A m e n d e d R e l x ~r t8. On the basis of the information contained in this Rep ort and anymodifications pertaining thereto, it is, in my opinion, in compliancewith appl icab le laws and regulat ions.

6. Reporting Period01/01/2010

to12/31/2010

Reviewing Off icer Date

I M P O R T A N T N O T E S : The instructions accompanying this form mast be followeg Complete all parts,checking the NONE box for each part where you hav e no reportable information. Sign on last pag~

I . P O S I T I O N S . C R e V o , n n g i n d i v i d ,a i o n l r ; s e ~ v v . 9 - 1 3 of filing instructions.)D N O N E ( N o reportable po sitions.)

POSITION1 . Co-Trustee, Irrevocable Trust B See Exp lanat ion2.3.

4.5.

NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . C R ~ o r ~ n g i n d i v id u a l o n O ; s ~ v v . 1 4 - 1 6 of filing instructions.)~ N O N E (No reportable agreements.)

DATE P A R T I E S A N D T E R M S

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N a m e o f P e r s o n R e p o r t i n gSachs, Howard F.

D a t e o f R e p o r t05/31/2011

1 1 1 . N O N - IN V E S T M E N T I NC O M E . rn ep or ~ . g individual andspouse; seepp. 17-24 of filing instructions.)A. Filers Non-lnvestm ent Incom e

~] NONE non-investment income.)N o reportableDATE SOURCE AND TYPE

2.

3.

4.

INCOME(yours, not spouses)

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - l f j , o u were m arred during any p ort ion of the report ing year, complete thix sect ion.(Dollar am ount not required except for 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 filing instructions.)

N O N E (No reportable reimbursements.)SOURCE D A T E S LOCATION

1 .2.3.4.5.

PURPOSE ITEMS PAID OR PROVIDED

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Name of Person Repor t ingS a c hs , Ho~va rd F .

Date o f Report05/31/201 I

V . G I F T S . a n c l u d ~ , h o s e , o sp o u s e o n d d e p e . d e n , children; see p t x 2 ~ - 3 1 of filing instructions.)

N O N E (No reportable gifts.)SOURCE DESCRIPTION

1.2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a n c lu d e s , h o s e o f s e o . s e ~ . d d e ~ e , , , ~ n , children; see p p . 3 2 - 3 3 of filing instt.ction~)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTIONI.2.

3.

4.5.

VALUECODE

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N a m e of Person Repor t ingSa ch s , H o ~ v a rd F .

Date of Report05/31/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i .... e , value, transactions (Includes those of spouse a n d dependent chi ldren; see p p . 3 4 - 6 0 of filing instructions)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g( i nc luding t r us t a s s e t s ) r e por t i ng pe r iod

~ (I) (2)Place "(X)" after each asset ] A m o u n t T y p e ( e . g . ,e x e m p t f r o m p r i o r d i s c lo s u r e i C o d e 1 d iv ., r e n t ,i (A-II) or i nt . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o dO) (2)V a l u e Value

C o d e 2 M e t h od( 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 i n 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 fb uy , sell, m m /dd~,y C ode 2 C ode I buyer!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 )

1 . C o m m e r c e B a n k A Interest J T2. United Missouri A Interest K T3. I s rea l Bonds4. Com merce M oney M ark e t - IR A (Financ ia lSqu ar e)5. C o m m e r ce B o n d F u n d - IR A6. W ells Far go Bonds ( Ev er g r een In t . Bond)M e r g e r7. iShares Barclays8. P i m e o E m e r g i ng L o c a l B d F u n d9. Vanguard In t e rmed, Te rm C orp. Fund #7 11 0 . Vanguard Tota l Bond M ark e t Index FundSi g1 1 . W ells Far go Bank1 2 , Frank l in U S Govt Fd CL C (FR U GX )1 3 . T e m p l e t o n G l o b a l B o n d F u n d C L C1 4 . Ch es te rf i e ld M O Am Bac Bonds1 5 . Em pi re Di s t r i ct Elec t r ic Co. (ED E)1 6 . Am er . Cap. St ra t- (ACA S)1 7 . Black rock Hea l th Sc . T rus t (BM E )

N o n e J TA Interest J TD Interest M TB Dividend K TB D iv idend L TB Dividend K TB Dividend K TB Dividend K TA Interest K TC Dividend L TC D iv idend L TA Interest R e d e e m e dB D iv idend K TA Dividend J TB Dividend K T

02/16/10 K

I. Income Gain Codes: A =$1.000 or less B = $ 1,001 - $ 2.500 C = $ 2,501 - $ 5 ,000 D =$5.001 - $15.0~0(S ee C o lu mn s B I an d D4) F =$50.0~1 - $100.000 G = $I0 0,0 01 - $ 1.0 00 .0 00 It l = $1 .0 ~0 .0 01 - $ 5.0 00 .0 00 112 =More than $5,000.000

2. Value C odes J = $ 15 .000 or less K = $ 15.0~1 - $50.000 L =$50,1~1 - $100,000 M = $ 1 0 0 . 1 3 0 1 - $ 2 5 0 . 0 0 0{See Columns CI and D3) N =$ 250,001 - $ 500.000 O =$ 500,001 - $1 .000.000 PI = $ 1.000.001 - $5 ,0~O ,000 P 2 ~ $ 5 , 0 0 0 , 0 0 1 - $ 2 5 , 0 ~ 0 . 0 O O

P3 =$25.000.001 - $50.000,090 P4 =More than $50.000,0003 . Value M ethod Codes Q = Appr a i sa l R =Cost {Real Estate Only) S = As s es s ment T = Cas h M ar k c~ISce Column C2) U = Book Value V = O l h ~ W = Es l imatcd

E = $ 1 5 , 0 0 1 - $ 5 0 . 0 00

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N a m e o f P e r s o n Repor t ingS a c h s , H o w a r d F .

D a t e o f R e p o r t05/31/2011

V I I . I N V E S T M E N T S a nd T R U S T S - inco.o, value, ,ra,~actlo~, anclud,~ ,ho~ e o/~o .....d d e p e n d e n t c h il d r e n ; s e e p p . 3 4 - 6 0 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

D~s cr ipt ion of A s s e t s I n c o m e d m i n 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 f r o m p r i o r d i s c lo s u r e C o d e I d i v . , r e n t ,( A - H ) o r i n t . )

1 8 . M ut Ser FD Inc . Di s covery Fund (TED SX) A D iv idend1 9 . Firs t Trust- FGB A Dividend20 . N u v e e n M o B o n d s D Interest21 . C o m m e r c e M O B o n d s C Interest22 . M an ul i fe (Hancock ) B Dividend23 . Metlife A Interest24 . Am er ican Capi t a l LTD- Trus t B (TB) A Dividend25 . Blackr ock Heal th SciencesTr u s t -TB B D iv idend26 . Chesterfield bonds-TB A Interest27 . Com mer ce MO tax f r ee bond f u nd - TB D Interest28. N u v e e n M O B o n d s -T B B Interest29 . Art i s an M ed Cap Va lue Fund TB A D iv idend30 . Blackr ock Smal l Cap Gr owth Equ i ty -TB A D iv idend31 . iSh ares R us s e l l M idcap Va lue Ind. Fund- TB A D iv idend32 . iShares Russel l 1000 Growth Ind. Fund-TB A Dividend33 . iShares Ru sse l l 1 000 Va lu e Ind . Fu nd-TB A D iv idend34 . iShares Ru sse l l 2000 Valu e Ind . Fu nd - TB A Dividend

G r o s s v a l u e a t e n do 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 od( J - P ) C o d e 3( Q - W )

K TJ T

M T

L TK TK T

M T

L T

J TJ T

K TK TJ T

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

Sold 10/14/10 JSold 10/14/10 J

R e d e e m e d 0 2 /16 /10 K

Sold

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

D a t e Value Gain I d e n t i ~ y o fmrrddd~y Code 2 C o d e 1 buyer/se l le r

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

07/16/10 J

I. Income Gain Codes: A = $1 .0~0 or Icss B = $ 1,001 - $ 2.500 C = $2.501 - $ 5 . 0 0 0 D =$5.001 - $15.000(See Columns BI and 1)4) F = $ 5 0 . 0 ~ 1 - $ 1 0 O . 0 0 O G =$100.001 - $1,0~0.000 Itl =$1.000,001 - $5.000.000 112 =M ore than $5.000.000

2. Value Codes J =$ 15.000 o~ Icsa K = $ 15 .001 - $ 50.000 L =$5 0 ,001 - S I O 0 . O O 0 M =$100,001 - $250.~301See Colurnrts CI and D3) N =$250,001 - $500.000 O =$500,001 - $1.000.000 P I = $ 1.0 0 0. 00 1 - $ 5 .0 0 0. 0( 30 P 2 = $ 5. 00 0 .0 0 1 - $2 5 ,0 0 0. 00 0

P3 =$25,000.001 - $50.000,000 P4 =More Ihan $50.000.0~03 . Value M ethod Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Markc~{S~e Column C2) U =B o o k V a lu e V -~)ther W = Es t imated

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N a m e o f P e r s o n R e p o r t i n gSachs, Howard F.

D a t e o f R e p o r t05/31/201 I

V l 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 o l u . , ~ o ~ a c , i o .~ ~ t n c l u d c s th o s e of spouse a n d dependent children; see p p . 3 4 - 6 0 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Incom e during G ross value 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 dI O) (2 ) O) (2) O) (2) (3) (4) (5 )P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u nt T y p e ( e . g . , V alue V alue T y p e ( e . g ., D a t e Value Gain Identity o fexempt from prior disclosure C o d e 1 d i v . , r e n t , Code 2 M e t h od b uy , sell, m m !dd~y Code 2 C ode I b uye r/se ller(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 )35. iShares S&P Latin Am. 40 Ind. Fund-TB A Dividend J36. M organ Stanley Inst. Fund TB Trust Mid-

Cap G ro. Port.37 . Vanguard Emerg. Mk t. Vipers -Btf-TB

AA

Dividend K

Dividend K

TT

38 . Vanguard Europe Pac.-TB A Dividend J39 . Pimco Commo dity Realretum-TB A Dividend J40 . Financial Square Treasury obligations- TB A I n t e r e s t K( S e e e x p l a n a t i o n )

I. Income Gain Codes: A =$1,000 or less B -$1,001 - $2,500 C = $ 2.501 - $ 5 ,000 D =$5.001 - $15 .0~0(SeColumn~ BI and 134) F = $ 50,001 - $ 100.000 G =$100,001 - $ 1.000,000 I11 =$1,000.001 - $5.000.000 112 =More than $5.000.000{See Columns CI nnd D3) N =$250.001 - $500,000 O =$500,001 - $1,000.0~0 PI =$ 1.000.00I - $5.0~0.0~1 P2 =$5.000.001 - $25.000.000

P3 =$25,000.001 - $50.1~0,090 P4 *More than $50,000.0003 . V a lu e Me tho d C o d o Q = Appr a i sa l R ~Sos! (Real Estate Only) S = As s es s ment T -~?a~h Market{See Column C2) U =B o o k V a lu e V =O~h~ W =E slirnated

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

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N a m e o f P e r s o n R e p o r t in gSachs, Ho~vard F.

D a l e o f R e p o r t05/31/2011

V III. ADDITIONAL INFORM ATION OR EX PLANATIONS. an~icalepo,m,epor~7R e :Part IDeath~ i~-. , ." ~_~.~i] caused splitting of"jointly held~ a s s e t s , t e r m i n a t i o n o f ~ r e v o c a b l e t r u s t , c r e a t i o n o f I r r e v o c a b l e T r u s t B , w i t h t r a n s f e rs i nAu g u s t 2 0 0 9 t o C o m m e rce B a n k a s co - t ru s te e w i t h p r i m a ry i n v e s t m e n t r e sp o n s ib i l i ti e s .

Par t V III t em 4 0 r ep r e s en t s pe r i od i c depos i t s b y c o - t r u s t ee - s i mi l a r to b ank ac c oun t f o r i nc ome f r om s a l e s , in t e r e s t and d i v i dends .

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N a m e o f P e r s o n R e p o r t in gSachs, Ho~vard F.

Dale o f Report05/31/201 l

IX. CERTIFICATION.I c e r t i fy tha t a l l i n fo rma t ion g ive n a bove ( inc lud ing in fo rma t ion pe r t a in ing to my s pous e a nd minor o r de pe nde n t c h i ld re n , i f a ny ) i s

a c c u ra te , true , a nd c om ple te to the be s t o f my kno ~v le dge a nd b e l i e f , a nd tha t a ny in fo rma t ion no t re po r t e d wa s wi thhe ld be c a us e i t me t a pp l ic a b le s t a tu to ryprov i s ions pe rmi t t ing non- d i s c los u re .! further cert i fy that earned incom e from ou ts ide emp loyment an d honoraria and the accep tance of g i f t s which have been reported are incom pliance with the p rovisions of 5 U.S.C. app. 501 et . seq., 5 U.S.C. 7353, and Jud icial Conference regulations.

Signature: S/Howard F. Sachs

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 L L Y F A L S IF IE S O R F A L L S T O F I L E T H IS 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 )

Committee on Financial DisclosureA d m i n i s tr a t i v e O f f i c e o f th 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 in g t o n , D . C . 2 0 5 4 4