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1. Person Reporting (last name, first, middle initial) Barrett, Michael R. 4. Title (Article 111 judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. District Judge - Active
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. I01-111)
5b. [] AmendedReport
7. Chambers or Office Address Potter Stewart US Courthouse 100 East 5th Street, Room 239 Cincinnati, Ohio 45202
8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date
IMPORTANT NOTES: The instructions accompanying this form must be followevL Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
NAME OF ORGANIZATION/ENTITY
~
Old Walnut Company
Trust
DATE
Barrett, Michael R.
III. NON-INVESTMENT INCOME. (Scponing individual and spouse; seepp. 17-24 o filling instructions.)
A. Filers Non-Investment Income
~]
income.)
2. 3. 4.
B. Spouses Non-Investment Income - if you were married during anyportion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
~
1. 2. 3. 4.
DATE~S
LOCATION
PURPOSE
I
NONE (No reportable gifts.)
SOURCE
1. 2. 3. 4. 5.
Barrett,
Michael R.
V. GIFTS. anciudes those to spouse and dependent children; see pp. 28-31 of JJling instructions.)
DESCRIPTION
VALUE
VI. LIABILITIES. ancludes ,hose o/spouse and dependent children; see pp. 32-33 of filing instructions.)
NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5~
DESCRIPTION
VALUECODE
VII. INVESTMENTS and TRU S TS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
~ NONE
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure
1. 2. 3. 4. 5. 6. 7.
US Bank IRA Account - Am. Century Sm. Cap (mutual fund) - Am. Century Equity Income (mutual fund) - Blackrock Basic Value Fund Inc. (mural fund) - Eaton Vance Large Cap CI A (mutal fund) - Fidelity Ad International Discovery (mutal fund) - Fidelity Ad International Discovery (mutual fund) - Fidelity Investment Tr. Ad Intl Discovery (mutual fund)
Dividend
N J J K K J
- Nuveen Inflation Pro Sec (bond) - Nuveen Core Bond Fd (bond) - Nuveen Large Cap (mutal fund) - Nuveen Mid Cap (mutal fund) - Nuveen Mid Cap Value (mutal fund) - Nuveen Real Estate Sec. Fund (mutal fund) - Nuveen Small Cap Select (mutal fund) - Nuveen Small Cap Value (mutal fund) - Laudus Rosen International (mutal fund)
1: income Gain Codes: (See Columns Bt and I)4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (Scc Column C2)
A =$~,000 orless .... F =$50,001 - $100,000 J =$15i000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50;000,000 Q =Appraisal U =Book Value
G =$100,001 - $1,000 000 K --$15;001-$50,000 O =$500,001 ~ $1,000,000 R VCost (Real Estate Only) V =Other
c =$2,501- $s,ooo HI =$11000,001 ~ $5,000;000 L =$50,001 : $ 100,000 P 1 =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,0m-$15,000 H2 =More than $5,000,000 M =$100,001 - $250~000 P2 =$5,000,001 - $25,000 000 T =Cash Market
E=$15,001- $50,000
VII. INVESTMENTS and TRU STS - inco,~e, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets)
Place "(X)" after each asset
(2) Date
mm/dd/yy
Code 3 (Q-W) 18. 19. 20. 21. 22. 23. 24. 25. 26. - Laudus Rosen International Mktermasters (mutual fund) - T. Rowe Price Mid Cap Value (mutal fundl - T. Rowe Price Value Fund (mural fund) - T. Rowe Price Equity (mutual fund) - First American Treasmy (cash account) Procter & Gamble (common stock) Old Walnut Co. (Partnership) Western Southern Life Ins. Co. J.M. Smucker (Common stock) A D D Dividend Dividend None Dividend None B Dividend J K J L L N K J J K K J D Dividend P1 O J J T T T T T T W T W T T T T T T T
redemption)
(5) Identity of
buyer/seller
Sold
05/I 2/10
Sold (part)
09/07/10
27. St. Martin Association 28. 29. 30. 31. 32. 33. 34. Michael R. Barrett Foundation - Procter & Gamble (Common Stock) - First American Treasury (cash) US Bank Agency Account - First American Treasury (Cash) - Nuveen Core Bond (bonds) - Nuveen lnflation (bonds)
(See Columns B 1 and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
G =$100,001 - $1,000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V -Othcr
C =$2,501 - $5,000 H I =$1,000,001 - $5,000,000 L =$50,001 - $ 100,000 P 1 =$ 1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000~000 M =$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$t5,001 - $50,000
VII. INVESTMENTS and TRUSTS - i.come, value, transactions (Includes those of spouse and depettdent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Descript on of Assets Income during
(including trust assets) Place "(X)" after each asset exempt from prior disclosure
reporting period (1) (2) Amount Type (e.g., Code I div., rent,
(A-H) or int.)
Date mm/dd/yy
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47.
- Abbott Labs (Common stock) - Procter & Gamble (common stock) - Eaton Vance Lg Cap Value (mutual fund) - Fidelity Ad. Intl Disc. (mutual fund) - Nuveen Lg. Cap Value (mutual fund) -Nuveen Mid Cap Value (mutual fund - Nuveen Real Estate Sec. Fund (mutual fund - Nuveen Small Cap. Select (mutual fund) - Laudus Intl Maketmasters (mutual fund) - Laudus Intl Marketmasters Fd Select (mutual) - Laudus Rosen lnt! (mutual fund) - T. Rowe Price Mid Cap (mutual fund) - T. Rowe Price Value (mutual fund) D Dividend
L M
T T Buy 09/07/10 M
T J J T T T T
T
Buy (addl)
05/12/10
48. Trust# 1
- First American Treasury (cash) - Nuveen Total Return (bond) - Amgen, Inc. (Common stock)
Buy (addl)
08/05/10
:i. ih~0meGain Codes: (See Columns Bl and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$ii000 6~ less
=$50,001 - $100,000
=$15.000 or tess
N =$250,001 - $500,000
B =$1,001 - $2,500 G =$100,001 - $ 1,000,000 K =$15,001 - $50,000 O~$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H I =$1,000,001 - $5,000;000 L=$50~001 - $100,000 P I -$ t ,000,001 - $5,000;000 P4 More than $50,000,000 S =Assessment W =Estimated
E =$15,001- $50,000
T =Cash Market
(2)
(2)
(3) (4)
(5)
Code 3
redemption)
(J=P)
(A-H)
(Q-W)
52.
53.
J
K
T
T
54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.
- Bank of America (Common stock) - Boeing Co. (Common stock) - Cintas Corp. (Common stock) - Cicso Systems (Common stock) - DuPont E1 De Nemours (Common stock) - Exxon Mobil Corp. (Common Stock) - Hillenbrand Inc. (Common stock) - Hill Rom Holdings (Common stock) - lntel Corp. (Common stock) - Morgan Stanley (Common stock) - Motorola, Inc. (Common stock) - Omnicom Group (Common stock) - Pepsico, Inc. (Common stock) - Procter & Gamble (Common stock) - Starbucks (Common stock)
J J J J J J J J J J J J J J J
T T T T T T T T T T T T T T T
1. Income Gain Codes: (See Columns B 1 and IM) 2. Value Codes (see Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,00I - $50,000,000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100,001 - $ i ,000,000 K =$15,001 - $50,000 O :$500,00t - $1,000,000 R :Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$1,000,001. $51000,000 L =$50~001 ~ $100,000 Pt =$1,000,00l - $5,000,000 P4 =More than $50;000~000 S =Assessment W =Estimated
D =$5,001- $15,000
E =$15,001 7 $~0000
H2 =More than $5,000,000 M =$100,001 r $250,000 ........... P2 =$5,000,001 - $25~000,000 , T =Cash Market
VII. INVESTMENTS and TRUSTS --income, ~alac, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Income during reporting period (1) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) Gross value at end of reporting period (1) (2) Value Value Method Code 2 (J-P) Code3 (Q-W) 11) Type (e.g., buy, sell; redemption) Transactions during reposing peri0ff (2) (3) ~ (4) Date Value I Gain mm/dd/yy Code 2 Code 1 (J-P) (A~ : (5) . Identity of buyer/geller (ifprivate vtansaenon)
69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84.
- Texas Instrument (Common stock) - US Bancorp (Common stock) - United Health Group (Common stock) - Three M Co. (Common stock) o America Movel (Foreign stock) Novartis AG ADR (Foreign stock) - Schlumberger Ltd. (Foreign stock) - American Century Sm. Cap (mutual fund) - Barclays Ipath Dow Jones AIG (mutual fund) - Blackrock Capital (mutual fund) - Eaton Vance Lg. Cap Value (mutual fund) o Nuveen Mid Cap Growth (mutual fund) - Nuveen Mid Cap Value (mutual fund) - Nuveen R.E. Sec (mutual fund - Nuveen Sin. Cap Select (mutual fund) - Ishares Msci Emerging Mkts Index (mutual fund) K T J J T T
1. Income Gain Codes: (See Columns BI and 104) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Colunm C2)
A =$1,000 0~ !~s F =$50,001 - $100,000 J =$15,000 or tess N =$250,001 - $5~0,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1;001 - $2,500 G =$100,001 - $i,000,000 K =$15,001 - $50,000 O =$500,001 - $ 1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H1 =Sl,000,001 ~ *5,0001000 L =$50;001 ~ $100,000 P4 =More than $50;000~000 S =Assessment w =Estimated
Pt--$1,000;001- $5,00o~0oo
E =$15,00 t - $50,000
n--sS~0Or,00i- $2~,0001000
T =Cash Market
VII. INVESTMENTS and TRU S TS - income, value, transactions (htcludes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(x)" after each asset exempt from prior disclosure Income during reporting period (2) (1) Amount Type (e.g., Gross value at end of reporting period (1) Value (2) Value Method Code 3 (Q-W) (1) Type (e.g., buy, sell, redemption) Transactions during reporting period (2) (3) (4) Value Date mngdd/yy Code 2 (J-P) (5) Identity of : buyer/seller (if private trausaction)
86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99. 100. 101. 102.
- Landus Rosen Intl (mutual fund) - T. Rowe Price Intl Growth (mutual fund)
Sold T
08/05/
ii inc0me Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Colunm C2)
A =$1,000 or less F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q -Appraisal U =Book Valuc
B =$1;001 - $2,500 G =$100,001- $1,000,000 K =$15,001 - $50,000 O=$500,001. $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 :: ~i --$i;0001001 ~ $~i000;000 L =$50!06i ~ $100,000 PI--$iI000~D0i ~ $5;000 000 P4 =More thart $50~000;000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =M0re tha~ $5,000,000 M =$100,00! :$250,000 P2 =$5,000;001 -$25,000;000 T =Cash Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) B. Income during reporting period (1) (2) C. Gross value at end of reporting period (l) (2) (1) Transactions during reportJng period (2) (3)
103. 104.
105.
106. 107.
111.
112. 113.
114.
115.
116.
117.
118.
119.
1: Income Gain Codes: (See Columns BI and 134) 2. Value Codes ( See Columns C I and D3) 3. Value Method Codes (See Column C2)
B=$1,001~ $2,500 A =$i1000 0r less F =$50,001 - $100,000 G =$100,001 - $1,000,000 J =$15,000 or less K =$15,001 - $50,000 N =$250,00 ] - $500,000 O =$500,001 - $ 1,000,000 P3 =$25,000,00i - $50,000,000 R =Cost (Real Estate Only) Q =Appra sal V =Other U =Book Value
c =$2,501 - $5,000 H i =$1,000,001 ~ $5 000 000 L =$50,001 - $100;000 P 1 =$ i ,000~001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$S.001 - $15,000 H2 =More than $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15.001 - $50.000
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
~
Code 1 (A-H)
Code 2 (J-P)
mm/dd/yy
Code 2 (J-P)
Code 1 (A-H)
120. 121.
122.
123.
i i~0me Gfiin C~de~i: (See Columns BI and D4) 2. Value Codes (See Columns C1 and D3) 3. Value Method Codes (See Column C2)
A =$1;000 or less F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Valuc
B =$1,001 - $2,500 G =$100,001 - $1,000,000 K =$15,001 - $50,000 O =$500,001 ~ $ 1,000,000 R =Cost (Rcal Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$ t ,000,001 - $5,000,000 L =$50,001 -$ 100,000 P I =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Asscssment W =Estimated
E=$15,001-$50,000
I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure. I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544