FINANCIAL DISCLOSURE REPORT
FOR CALENDAR YEAR 2009
2. Court or Organization Western District of Missom5 ~$a. Report .Type (check appropriate type) [][] Nomination,~ tniti~ Date 171 ~nual []
Report Requires by the
in Government Act of t978
(s u.sc. ,,pp. §§
1. Person Reporting (last name, firsk middle initial) WHIPPLE, HAROLD "DEAN" D, 4. Title (Article III judges indicate active or senior status; magistrate judges indicate tiff1- or part-time) U.S, DISTRICTJUDGE(SenirStatus)o
3. Date of Report 05/03/2010 6. Reporting Period 0t/01/2009
Final
to
12/31/2009
5b. [] Araended Report 7. Chambers or Off’~e Address 8462 Chas. Eval~s V~rhitiakel" Ctt 400 East 9th Street Kansas City, MO 64106 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it i~, in my opinion, in ompliance with applicable laws and regulations. Re~iewing Officer Dale
IMPORTANT NOTES: 1"he instructions accompanying this form must be followed Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
[~
NONE (3/o reportable positions.) POSITION NAME OF ORGANIZATION/E~TITY
2. 3.
~
NONE (No reportable agreements.)
~
1.
PARTIES AND TE~IS
FINANCIAL DISCLOSURE REPORT Page 2 of 7 I
IH. NON-~STMENT ~CO~. (~,~o~z lnd~M~t a~s~use; ,eepp 17-24 of f!l~g ins~u~n~)
A. ~ler’s Non-Investment Income NONE ~o reportable non-inves~ent income.)
~QURCE A~ T~E (yo~, not s~e’s) $36,962.00
1, 2~9 2. 3. 4.
Mi~ou~ Judges Retirement System - Pemion
B. Spouse’s Non-Investment Income - llyo. ,~,e married during an).portion of the reporilng year, complete this seetior~
(Dollar amount not required except for honoraria.)
[-~
NONE (’No reportable non-investment income.) DATE ~OURCE AND TYPE
Administrative Office - UoS. Courts - Adminis~ative Assistant
1. 2009 2. 3. 4,
IV. REIMBURSEMENTS - ,.o~po.~o~ toa~n~,~’o~ e~e..i .... ~
(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.) NONE (No reportable reimbursements,)
~
I. 2. 3. 4. 5~
DATES
I..OCATION
PURPOSE
ITEMS PAID OR PROVIDED
FINANCIAL DISCLOSURE REPORT
Page 3 of 7
~PPLE, ~OLD "DE~" D. [ 05/03/2010
~
NO~ ~o reportable g~sO
SOURCE
DESC~PTION
2. 3. 4. 5.
VI. LIABILITIES. a~,,~
NONE (No reportable liabilities.)
CREDITOR
DESCRIPTION
VALUE CODE
2. 3. 4. 5.
DISCLOSU~ ~PORT
Page 4 of 7
]Name
of Person Reporfi~
Dace of Rel~r~
o~/o3/~o~o
NONE ~o reportable income, assets, or
A. D~cfip~on of A~ (]ncl~ng ~st ~se~) Pla~ "~" ~r ~ch ~set B, [ ~come d~ng r~ng ~ C. Gross vMue at end of r~ng ~od D.
o)
~ ~ount (A-~
(2)
T)ve (e.g., or ~t.)
]
[ (,)
~ Value (J-P)
(2)
Va~e Code 3
o)
T~e (e.g., ~dempfion)
(2)
~
~3) ] ~ ~
Value ~ Gain ~ (J-P)
(5)
Id~ti~ of (if pfiva~
1. 2. 3. 4. 5. 6. 7. 8.
Wo~l~, Dall~ Co., MO Woodlands, Dallas Co., MO Office Bldg., Lebanon, MO 1/2 Owner woodlands, Laelede Co., MO 1/3 Owner woodlands, Lebanon, MO GMAC Bank of America Accounts Corn Prod. lntT com. stock C B A
Vail Resort, Inc. (common)
Mid-Missouri Bank Account Ciseo Systems, Inc. (common) Pepsico, Inc. (common) Federated Total Return Bond Fund Pimco Foreign Bond Fund Vanguard GNMA Fund Vanguard Developed Markets Index Vanguard Institutional Index (a/k/a Vanguard 500 Index) B B A B A A B
T
T T T T T T T T Bny Buy Buy 09/16/09 09/16/09 09/17/09 L K K
l, Ineom~ Gain Codes: (S~e C01uYms BI wad I)4) 2. Value Codes (See C.olumus CI a~d D3) 3. Valet Method Codes (See Colunm C2)
A =$1,000 or ]¢ss F =$50.001 - $11~0,000 J =$15.000 or less N ~$250,001 - $500,000 P3 ~$25,000,001. $50.000,000 Q ~Appr aisa[ Lr =Book Value
B *,$1,001 - $2,500 G ~$100,001 - $1.000,000 K ~$15,001 - $50.4300 O =$500,001 - $1,000.000 g =Cost (Real Estate Oaly~ V ~Othcr
C ---$2,501 - $5.000 Ill =$1,000.001 - $5.000,000 L =$50,001 - $100,00O Pl ~-$1,000,001 - $5,0~0,000 P4 --More than $50,000,000 S =Assessment W =Estimated
D ~$5.001 - $ t 5.000 H2 =More than $ 5,00~,000 M -~g 100,001 - $250,0~0 P2 ~.$5.000,001 - $25,000,000 T ~Cosh Market
E =$I 5,th’) I - $50,000
FINANCIAL DISCLOSURE REPORT Page 5 of 7
I Name of Person Reporting
[ WHIPPLE, HAROLD"DEAN" D.
[
Date of Rep0rt 05/03/2010
]
~, VII. INVESTMENTS and TRUSTS - ~ .... ~e~o,~ (z~ ~o~ o/,po~ ~,~ aep¢~a~, ~s~,~,.; ~ ~,~ ~4-~o o~ i~ao~
[] NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trot assets) Place "(X)" after each asset exempt from prior disclosure B. I C. Gross value at end I Income during of reporting period ~_~..~ug period ~) ’ it) ! (2) [~-- (2--~ Value Value Type (e.g., Amount ! Type (e.g., Code 1 ] div., rent. Code 2 Me~od buy, sell, or int.) (J-P) redemption) [I (A-I~ il COde(Q.W)3 D. Transactions during reporting period i ~Z) ! (3) ~4) Date i Value ; Gain :’ mm/dd/yy i Code 2 Code 1 (Y-P) (A-I-I) (5) Identity of buyer/seller transaetion)(if priva~:¢
t
18. 19. 20. 21.
Dimensional Fund Advisors Investment Dimensions Group IRA #I -- AIM Int’l. Mutual Fund - AIM Equity Funds CLA
D C
Dividend Dividend
N M
T T
22. ¯ AIM Growth SER 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. Harley Davidson, Inc, Pim. Comm. Northern Fund Global Vanguard TIPS (a/k/a Vanguard Inflation Protected) Vanguard Index Funds Grw Idx Sigxta| Central Bank Accounts Bank Midwest Account Garrnin, LTD Federated High-Yield Bond Federated Ultra-Short Bond Vanguard Short Term lnv Grade Vanguard lnt-Term Inv Grade
T T T T T T T T T T T T T Buy Buy Buy Buy 04/08/09 04/09/09 04/08/09 04/08/09 K J K K
(S~ Col~ C2)
U =B~k V~ue
V~
W =Eaimated
FINANCIAL DISCLOSURE REPORT
Page 6 of 7
S.m~ of Person Reporting
l~t, of Report
wnreeL~, HAROLD "DEAN" D.
05/03/2010
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a,~c~er~,oiR~,~;
DISCLOSURE REPORT Page 7 of 7 ~. CERTI~CA~ON.
I
Name of Person Reporting
Date of Report
~ ~P~ ~0~
"DE~" D.
05/0~/20~0
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 compUanee with the provisions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regalations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FALLS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRI1VIINAL SANCTIONS (5 U.S.C. app. § 104)
FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544