,90 lo

Rev. l/:mO

I
]

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
2. Court ur Organization U.S. Districl Ct., SD. Oh[t) 5a. Report Type {check appropriate t~,pc} [] Nominali~n, [] Initial Date [] A .... 1 [] Final

Report Required by the Ethics

in Government Act of 1978

(s U.S.C. app. ,~.~ 101-111)

3. Dart of Report 041D5/2010 6. Reporting Period 01!01!2009 to 12131/2009

I, Ptrson Reporting (last name. firsl, middle initial) Rose, Thomas M. 4. Title {Article Ill judges indicate actis or senior stca,as; magisIratc judges indicate full- or pats-lime) U.S. District Judge (acti,.e)

5b. [] Amended Reporl 7. Chamb~r~i or ()[rice Address 200 Wesl Second Street 9th Floor, Federal lJuilding D~yton. OH 45402 8. On the basis of the irfformalion contained In this Report and any mt~difications pertahting thereto, it is, in m) opinion, in compliance ~,ith applicable lac,s and regulationr,. l{evie,,~ ing Officer Dale

IMPORTANT NOTES: T~e instruction~ accompan.ving thL~ form must be followed. Complete all parts, checking the NONE box for each part ~,here you have no reportable information. Sign on la.~t page.

~-~

NON E (No rtT~ortahle po.~itions.) POSITION NAME OF ORGANIZATION/ENTITY

Wiggins & Rose Stables L.L.P.

I.

Panner

2. lat~ncr

KSJ Stablc~, LIp

NONE (No reporttlble agreements.) DATE

I. 1976

PARTIES AN~ TE~S

Public Employees Retirement System, no control, retirement

2. 2005

Nor~hwesleru Mtmml Individual retiremenl account - self directed (roLled from Ohio Deferred Comp Fund)

Rose, Thomas M.

FINANCIAL DISCLOSURE REPORT

Pag~ 20~" 9

,~ .... fP ..... R~porting Rose, Thomas IM.

Dat~otReport 04/05/2010

Ill. NON-INVESTMENT INCOME. t~e~o,,i,,g z~i,,~.o~ ~.a.,~ ...... ~ ~,~ ~,. ~7.~ ,,~,,,~ i
A. Fliers Non-lnvestment Income

~
1. 2009 2. 3. 4.

NONE

(No
DATE

non-investment income.) SOURCE A~ TYPE (yours, nol spouses) Ohio Public Employee Retiren~ent System ~RetircmenD $74,682.~

B. Spou ses No n-I nvestment Income - q).ou ,,,ere married during an)portion of th e reporting ),ear. complete thig section. --] NONE (No reportable non-investment income.) DATE I. 2009 2, SOURCE AND TYPE Ohio Public Retiremem System (Reliremen0

4.

1 V. REIM B U RSEM ENTS --,,.,,~p ~,,,,, ~o,~,,g,/oo,t, ....... ....,. ..... ;

NONE (No r~7;ortahh" reimbursements.) ~ 1 2. 3. 4. 5. DATE~ LO~AT1QN P.~IRPOSE ITEMS PAID OR PROVIDED

FINANCIAL DISCLOSURE REPORT Page 3 of 9

s,~o~

.....

Reporting

Rose, Thomas M.

I
~

04/05~010

V. G I FTS. a,a,~, ,~o,~,,,,r ....... a dependent children: .vce pp. 2~-J I of filing i~vtruction~.)
NONE (No reportable g~s.)

~
1. 2.

DESCRIPTION

3.
4. 5.

VI. LIABILITIES. a,,t~de.,

~-] NONE (No r~7~ortable liabilities,) CREDITOR
I. 2. 3.
4.

DESCRIPTION
Mortgage on renlal property #1 - Xenia, Ohio

VALUE CODE
K

Hu~ling|~m Bank ika Sky Bank

5.

FINANCIAL DISCLOSURE REPORT Page 4 of 9

N rose, Thomas M.

04/0512010

V I1. INVESTMENTS and TRU STS - i ......... ~.e. t ....... tions flnctu,les those of~p
NONE income, or transactions.)

0ndudmg Irus~ a~sc~s) Plaz~ "(X)" after c~ch as~t cxcmp~ flora prior disclosmc

reporting pcfi~ ,Amoum . Type (c.~.. Code I div. rent. [ (AdD ~ oriml

of rcpomng period Value Code 2 G-P) : Va!uc Mc~hod Code3 (Q-W~ Type (cg., buy. sell, redemption) Value Gain Date mm~dd)y C~ 2 Code I (J-P) i (A-tl) Idcnli~ of buyc#scllcr (ifpdvale tran~ction)

I.

Amcap Fuml b:c Class A Am Funds Small Cap Wo~Id Fund C~ass A Am Funds Ain~ [vlutual }:und lnc, (Has:, A Am Funds

Dividend

-Z 3.

A C

Dividend Dividend

K K

T T

! .I. Bored Fund of Am lnc. Class A Am Funds

5. 6. 7. Eulu Pacific Growth I] Fd. Clm.s A Am Funds Archer - Daniels - M{dland (o. BP P L C ADR Spons~,rcd

FI
A

Dividend
Dividend Dividend Dividend

L
K K K

T
T T T

A }3

8. 9. I0

Central Fund of Canada LTD CI. Claymore Exchange Traded FD Zacks YLD llug Fomento l!~-onomko Mcxicav, o

A A A
A

Db, ldend Dividend Dividend

Di,,idend

J J J
K

T T T
T

I 1. Iluntingtot~ B~:,ncsharcs

12. lsharc~; Comcx Gold Tr Ishares

Dividend

Sold

12109,09 J

14.

Isharcs Tr I:tse Znhua IDX

A A

Dividend Dividend Interest

K K J

T T

15. 16 17.

Isharcs TR S&P Global lll(l Microsoft (orp National City Corp

A A

T Distributed 01105/09

Disidend

FINANCIAL DISCLOSURE REPORT Page 5 of 9 V 11. IN VESTMENTS and TRUSTS --i ..........

~,por,~o~ [~.n,~orP ..... [ Rose, Thomas M. 1.., t ...... tin,,, a~a~a~, :no~.~ of,p ....... a at,~a~m enita,
D. T~r, sactions dining reposing period

IM/05~010

NON E (No reportable income, assets, or transactions.) Description ol Assets [incb~din~ ~rust asscls) Place "! X)" aflc~ cash asset cxcn)p~ flora ~rio~ disclosure Income during ~ ~porting period ~ Amount ~ C~e I (A-tt~ "1 )pc [e g, di~., rent, or inl.) : Grass value at endI[ of rc~ing pcrmd Value C~d 2 {J-P) Value Method Code 3 Q-W} T T Sold J J K T T T Redeemed K K K J K T "I" T T T Redeemed J J J K T I T T 10!01;09 K 12!02/09 K 12/I 0,09 J Type (.g, buy, sell, redemption)

Date Value Gain ~tnm.d~~ C~e 2 ~ C~c 1 . {J-P) (A-H)

Identfiy of buycr~scllcr (ifp~.ale transaction)

18. 19. ~20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31 32. 33. 34.

PNC Newel[ Rubbc~naid lnc Nuvccn Ohio Qua[ lncm Mun SPDP, Index StlS FDS Midcast Africa \Visdomtrce qrusl Emg Mkts SAmcrican Moni Pov. er Oh $Broadview Ills. G O SA LT ~t.:$Buckeye OhiolOB Scttlem BE Fin~ Aulh Asset $Celina Ohio

A A A A A B A A A

Dhidend Dividend Dividend Dividend Dividend Interest Interest Interest Interest Interest Interes~ Dividend Interest Interest Interest Interest Interest

J J

Spinoff (from line 17]

01/05/09

$Centerville Ohio IIIth C~ Bethany Luthem A VIg Proj $Cenlerville Ohio t Ilth Ca Bethany Lutherar VIg. Proj SClyde Green Springs Obligation Bond Columbus (Franklin Col Ohio Gcn Oblig Bds $Cuyahoga Cnly Ohio I losp Rcf&lmpl Revenue ,~o |ids $Franklin County Ohio flea Care Facs SFranklin Ohio Pub hnps General Obli,galioo Bonds Franklin City (Warren Co) Ohio B A B A A A A

FINANCIAL DISCLOSURE REPORT Page 6 of 9 V1 I. IN VESTM ENTS and TRUSTS - i., ........
~

Iaose, Vhon,as ~"

l

Name of Person Reporting

[)ale of Report

I
"lransaclions during reposing period Type (cg. buy, sell, ~dcmp6on) Date , Value ~ Gain [mmid~~ [ Code 2 Code I I , ~ I

0=/o~,~o,o

~.~, t,,m.ai,,m l~cl,ges tho, e of sp ......

a depe, g~t hilU,~,; setup. Z-~O of firi~g i~structio~s.~

NONE (A% reportable income, assets, or transactions.) Description of Assets (including Ivas~ ~ssets) Place"iX)" after each asscl ~.xcmpl I~om prio~ dlsclosurc Income during reposing pcfiod Amounl ~ Ty~ (e.g.. [ Code I ~ d~v. renL (A-H~ or ira.) ~ [ B A B 13 A A B B A A B A A B A Interest Interest Interest Interest lnteresi Interest Interest Interest Dividend Inleresl ]ntcrcsl Dividend Dividend Interest Distribution None D Distribution K K K K K K K K K J K K J L K T T T ~ T T T T "1" T I "1 W W W Redeemed (part) 12"01:09 L ~ Gross ~aluc a~ end of ~ponh~g period Value Cndc 2 ~J-P) Value Mclhod Code 3 (Q-W) T Redeemed 05/15/09 J

]dcmily of buyer/seller lransacnon)

35. 36, 37. 38. 39. 4(I. 41, 42. 43. 44. 45. 46. 47 4~ 49. 50. 51,

SHami]ton Cnty Ohk) lltth $tlamilton Cnty Ohio Hosp (Childrens I tosp) $11amilton Cuunty Ohio Facs Roy Bond SHuber Ills (Montgomery Co) $1ndepcndence Ohio G() Skmain County Ohio tlosp Ref& lmpt Rev B~nds Catholic Hhcr SMahoning Counly Ohio Gen Obligation B~mds ~SMansfield fltichlandCnly Gcnl Oblig Bonds Mahoning Co. Ohio I Iosp. ~ac Bonds $Ohio SI Bldg Aulb Revenu Bonds $Ohio St Iiigher Ed[ F~c (Ohio Christian Univ Proj) Ross Cnty Ohio Hosp. Rev Bonds ThornborgValue Fund - A Excahnge m Sweney Curt,~.right S~ock Cash Account Wiggins & Rose Slables L,LP. Rental Prop. ~ 1, Xenia OI 1 KSJ Slables I,LP

FINANCIAL DISCLOSURE REPORT

N .... f Person Repor,ing 04/05r2010 [ Date of Repot! [ Rose, Thomas M. l

Page 7 of 9
V 1 I. I N VESTMENTS an d TRU STS - i~,. ....... i~. t ...... tion~ (Includes those ofsp ....... d dependent children; ~re pp. 34-60 offillng instructions.)
NONE (No reportable income, assets, or transactions.)
Dcscriplioa of Assets Income during Gross value al c~d 11} Type leg., buy. s~lI, i

Transactions during rcpooing pc~od (~) -- (3i- {~ ........ ~1 Date Value Gain ;lamd~t~ [ Code 2 Code I transaction) [5) Identity of buycr/scllcr

Place "(X~" aflcr each i~ssct exempt from Frlor disclosure

{I) (2.~ II) - ~12} ;Amou~t T~p (c g, ~ Value Code I . di~.. tent. : Code 2

V~Iue Method (Q-W)

~52. :53. 54.

55. 56, 57. 58. 59.

61

FINANCIAL DISCLOSURE REPORT Page 8 of 9

~ ....

IP ..... Reporting

D,te of Report

ro~,, TI, oma.~ M.

04/0512010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

FINANCIAL DISCLOSURE REPORT Page 9 of 9 IX. CERTIFICATION.

N .... type, on ~or,i~

Rose, Thomas M.

o~,.0t~.~,o.
04/02010

I certify that all information given above (inclnding 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 ally 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 s~hich 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.

Si

NOTE: ANY INDIVIDUAl. \VHO KNOWINGLV AND \VII,FULI.Y FAt.,-,I P II-.b o1,~ PAILb I I.,I I" ILL I !115 RI.IOI< 1 I~IA] HI::. bUiklEU I I O CIVIL AND CRIMINAl, SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Commiltee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544