Académique Documents
Professionnel Documents
Culture Documents
1/2011
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. ,~,6 I01-111)
active/dist
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 followea~ Complete ali parts,
checking the NONE box for each part where you have no reportable information. Sign on lastpage.
II. AGREEMENTS. m,vo~,g lna~iduat o,&; se, ~,. 14-16 of fillng instructions.)
[~] NONE (No reportable agreements.)
DATE_
Simpson, Charles R.
instructionsO
2. 3. 4.
B. Spouses Non-Investment Income - if you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
1.
xxxxxxxxxxxxxxxxxxxxxxxxxx~/i:~x4b2~xx~xxxx)~:~x~~dxxxxxxxxxxxxD~i:ches Courtsxxx World Bk 6/24-7/6-10 Pula, Croatia Peer Reviewer for World Bk Justice Sector Loan to Croatian MOJ.
2.
3.
American Councils
7/15-7/16
Wash DC
4. 5.
V. GIFTS. ancl~des ,hose,o s~,o~e ond d~pendent children; seepp. 28-31 of filing instructions.) NONE (No reportable gifts.) SOURCE
I. 2. 3. 4.
DESCRIPTION
VALUE
5.
VI. LIABILITIES. anc~,,~es ,hose of spouse and #epen#en, children; see pp. 32-33 of filing instruction~ ) NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
lue, tr ....tlons (lnclud~ those of spouse and dependent children; seepp. 34-60 of fillng instruaiomO
(Q-W) 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. II. 12. 13. 14. 15. 16. ky telco fed cu 17. Louv. fed CU A B Interest Interest L L T T ge corn - .......calamos inv tr nw grwth fd cl c davis n y venture fd cl c euro pac growth fd clc allianz multi mgr nO dvid val fd clc growth fd of america Royce fund totl ret thomBurg inv tr intl val fundamental invs inc cl c blackrk muniMM fd Federated muni cash ser federated muni cash ser federated govt cash ser A A A A A A A A A A A A A Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Int./Div. Int./Div. lnt./Div. K T K K K K T T T T Buy Sold Buy Sold Buy 08/20/10 07/26/10 07/26/10 08/24/10 08/20/10 K K K K K J K K K T T T T Sold 08/19/10 K
I. Income Gain Codes: (See Columns BI and D4) 2. Value Cods {S~e Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1.000 or less F =$50,001 - $ 100,00~ J =$15.0~1 ~r le~s N =$250.001 - $500.0~ P3 =$25.000.0OI - $50.000.000 Q =Appraisal U :Book Value
B =$1,001 - $2.500 G =$100.001. $1.000.000 K =$15.001 - $50.0~0 O =$500.001 - $1.000.0~ R =Cosl (Real I:~la~e Only) V =Olhcr
C =$2,501 - $5,000 it I =$1,00~,001 - $.5.000.000 L =$50.0OI - $100.000 PI ~$1.000.001 - $5.000.0(~) P4 =More than $50.000.000 S =Ass~ssmcnt W :Es~imalcd
D =$5,001 - $15.000 112 =More 1ban $5.000.000 M =$100.001 - $250.000 P2 =$5.000.001 - $25.009.000 T =C~h Market
E ~$15,001 - $50.000
FINANCIAL DISCLOSURE REPORT Page 5 of 10 VII. INVESTMENTS and TRU STS - i ....
e, value, ~ra~sactio~ ttncludes those of sp ......a dependent children see pp. 34-60 of fillng instructions.)
Income during reporling period (i) (2) Amount Type (e.g., Code I div., rent,
(A-H) or int.)
(Q-.W) 18. 19. 20. 21. 22. 23. 24. 25. Churchill downs com A A A A C A A Dividend Dividend Dividend Dividend Dividend Dividend Dividend K M K J T T T T Buy 01/25/10 J J T T Sold Buy 10/26/10 10/26/10 K K A Dupree Intermed. govl bond set us Banked HHbonds Stockyrds bkaccl Stockyrds bkcd dupree ky tax-free B B A
A A D
L L K J K M
T T T T T T
26. johnson outdrs com 27. 28. 29. 30. 31. 32. 33. Casual Male Retail com. 34. Churchill Downs com vanguard toll stk mkl idx fd Vangrd toll stk mky idx admiral fd van guard Short-termTreas.adm fd Vanguard adm treas mm fd Vanguard Primemm fd
A A
Dividend Dividend
J J
T T
1. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and D31 3. Value Method Codes (See Column C2)
A =$1.000 or less F =$50.001 - $100.00~ J =S 15.000 or less N =$250.001 - $500.000 P3 = $25.000.001 - $50.0~0.000 Q =Appraisal U =Book Value
B =$1,001 - $2.500 G =$100.001 - $1.000,000 K =SI5.001 - S50.0~ O =$50~.001 - $ I R =Cost {Real Estate Only) V =Other
C =$2.501 - $5,0~0 I I I =$ 1.000.001 - $5.000.000 L =$50.0~1 . $10~.000 PI =$1.000.0Ol - $5.000,000 P4 =More than $50.000.000 S =Assossmem W -Esfimaled
D =$5.0~1 - $15.000 112 ~Morc Ihan $5.0(~.000 M =$100.001 - $250.000 P2 -$5.000.001 - $25.C~.000 T =~h Markcl
E =$15,0~1 - $50.000
Income during reporting period (i) (2) Amount Typo (e.g., Code I div., rent, (A-H) or int.)
Gross value at end of reporting period (I) (2) Value Value Method Code 2 Code 3 (J-P) (Q-W) J J J L
T T T
transaction)
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47.
48. 49. 50. 51.
A tCrosscom Glimcher realty Trust corn Johnson Outdoors com venlas com vanguard total stock mkt idx fd Vanguard totla stock mkt idx ADM fd Vanguard Short-term tras fd Vanguard Short-term treas ADM fd Vanguard Admiral trsry mm fd vanguard prime mm fd
A A A C A A B A A C
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
T Sold
10/26/10 10/26/10 10/26/10 10/26/10 K K L L A A
Buy Sold
L K J
T T T
Buy
A A A A B C
J J J J K M T T T T
I. Income Gain Codes: (See Columns BI and IM) 2. Value Coda ISee Columns CI and D3) 3. Value Method Codes (S~e Column C2)
A =$1,000 or less F =$50.001 $ 100,000 J =$15,0~1 or less N =$250.001 - $500.000 P3 =$25.00~.001 - $50.0~0.000 Q =Aplraisal U =Book Value
B =$1,001 - $2.500 G =$100,0~1 - $1.0~0.000 K =$15.001 - $50.0~) O =$500,001 - $1,0~.00~ R =:~ost (Real l:statc Only) V =Olhcr
C =$2.501 - $5,000 I I 1 =$1,000,091 - $5,000,000 L =$50.0~1 - $100.OO0 PI =$1.000.0~1 - $5.0~O.000 P4 =More than $50.000.000 S =Assessment W =Estimated
D =$5.001 - $15.000 112 =More than $5,000,000 M =$10~.001 - $250.000 P2 =$5.000.001 - $25.000.0~3 T -~S~sh Markc!
E =$15.001 - $50,000
I.o, V II. INVESTMENTS and TR U STS -inc ...... transactions lnclud~s those ofsp ..... nd dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust asse~s) Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value at end of reporting period (I) (2) Value Value Code 2 Method (J-P) Code 3 (1) Type (e.g., buy, sell, redemption) Transactions during reporting period (2) (3) (4) Date Value mm/dd,~, Code 2 (J-P)
] (I)
(2)
Type (e.g., div., rent, or int.)
(5)
Gain Code I (A-H) Idenfi~y of buyer!seller (if private transaction)
52.
B A C
C
L L J
0
53. vanguard Tax-managed sm Cap fd 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. !64. 65. 66. 67. 68. Vanguard Tax-Exempt mm fd Vanguard Trsy MM fd
Sold (part) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part)
03/I 1/10 03/29/10 03/29/10 04/07/10 05111110 : 06/03110 06/23/10 08/03/10 08/18/10 09/27/10 10/28/10 11/22/10 12/07/10 12/20/10
J J J L L J K J K J J J J J
A A A A A A A A A A A A A A
I. Income Gain Codes: (S Columns B 1 and IM) 2. Value Cod~ (See Columns CI and D3) 3. Value Method Codes {See Column C2)
A =$1.000 or less F =$50.001 - $100.009 J = $15.000 or k~s N =$250.001 - $500.000 P3 =$25,009.001 - $50.0~0.00~ Q =Appraisal O -Book Value
B -$1,001 - $2,500 G =$ 100.001 - $1,0~0.0O~ K = $15.001 - $50.0OO O =$500.001 - $1.000.0OO R =Cost (Real Estate Only) V =O~ho"
C =$2.501 - $5,000 I I I =$ 1.000,0~1 - $5.0~0,000 L =$ 50.001 - $ 100.000 PI -$1,000.0OI - $5,000.000 P4 =More than $50.00~,000 S =Assessment W -Estimated
D =$5.001 - $15.000 112 =More than $5.000,000 M =$ 100.001 - $250.000 P2 =$5.000.001 - $25.000.000 T =Cash Mark~
E =$15.001 - $50,000
O)
Place "(X)" after each asset exempt from prior disclosure
i Amount Code I (A-I I)
(2)
Type (e.g., div.. rent, or int.)
(I)
Value Code 2 (J-P)
(2)
Value Method Code 3
69. 70. 71. 72. 73. 74. 75. 76. 77. Dreyfus Strategis Municipals fd GEcom Nextera corn (name change from FPL Group 6/3) Vanguard tax-managCap Apprec fd Vanguard Tax-mang Intl fd VanguardtAX-mANAG Small Cap fd Vanguard Tax-Exempt MM fd vanguard Trsy MM fd A A A A A A A A Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend J K J K J J J J T T T T T T T T
I. Income Gain Codes: (Sc Columns BI and D4) 2. Value Codes (Scc Columns CI and D3) .1. 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 =$25.0~0.0OI - $50.0~).000 Q :Appraisal O =Book Value
B =$1,001 - $2.500 G =$100.001 - $1.090.000 K =$15.0OI - $50.000 O =$500.001 - $1.000.0~0 R ~ost (Real [,state Only) V =(hha.r
C =$2.501 - $5.000 I11 =$1.0~0,001 - $5.000.000 L =$50.001 - $100.000 PI -$1.000,001 - $5.000.000 P4 =More than $50.000.000 S =Asscssm~t W =Estimated
D =$5.001 - $15.000 112 =More than $5.000.000 M =$100.001 - $250.0~ P2 =$5.000,001 - $25.00~.000 T -Cash Markcl
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. ! 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 FALLS 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