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AO IO Rev.

1/2011

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010


2. Court or Organization kywd
! 5a. Report Type (che~k appropriate type) ] Nomination, [] Initial Date [] Annual [] Final

Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. ,~,6 I01-111)

!. Person Reporting (last name, first, middle initial) simpson, charles r.


4. Title (Article III judge~ indicate active or senior status; magistrate judges indicate full- or part-time)

3. Date of Report 4/19/201 I 6. Reporting Period 01/01/2010 to 12/31/2010

active/dist

5b. [] Amended Report

7. Chamber~ or Office Address 601 w.broadway #247 louisville, ky 40202

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.

I. POSITIONS. ~Revor~ng individual on&; see pp. 9-13 of firing instruction~)


D NONE (No reportable positions.) POSITION
1. 2. 3. 4. 5. advisory board

NAME OF ORGANIZATION/ENTITY International Assn.for Ct. Admin.

II. AGREEMENTS. m,vo~,g lna~iduat o,&; se, ~,. 14-16 of fillng instructions.)
[~] NONE (No reportable agreements.)

DATE_

PARTIES AND TERMS

Simpson, Charles R.

FINANCIAL DISCLOSURE REPORT Page 2 of 10

Name of Perton Reporting simpson, charles r.

Date of Repor~ 4/19/2011

II I. NON-INVESTMENT INCOME. tRepo.i.g individual andspouse; seepp. 17-24 offillng


A. Filers Non-lnvestment Income
~ NONE (No reportable non-investment income.) DATE

instructionsO

SOURCE AND TYPE

INCOME (yours, not spouses)

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.)

NONE (]go reportable non-investment income.)


DATE I. 2. 3. 4. SOURCE AND TYPE

IV. REIMBURSEMENTS --transportation, lodging, food, entertainment


(Includes those to spouse and dependent children; see pp. 25-27 qffiling instructions.) D

NONE (No reportable reimbursements.)


SOURCE DATES_ LOCATION PURPOSE ITEMS PAID OR PROVIDED
Transport to/frm Dubai-other items not reportable Transport, lodging, meals

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

mee~orient Russian judicial Transport, meals, lodging delegations

4. 5.

FINANCIAL DISCLOSURE REPORT Page 3 of 10

Name of Person Reporting simpson, charles r.

Date of Report 4/19/2011

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

FINANCIAL DISCLOSURE REPORT Page 4 of 10


VII. INVESTMENTS and TRUSTS -in .......

Name of Person Reporling simpson, charles r.

Date of Reporl 4/19/2011

lue, tr ....tlons (lnclud~ those of spouse and dependent children; seepp. 34-60 of fillng instruaiomO

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 O) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.)
Gross value at end

Transactions during reporting period


(t) Type (e.g., buy, sell, redemption) (2) Date mm/dd/yy O) (4) Value Gain Code 2 Code I (J-P) (A-H) (s) Identity of buyer/seller (if private t~ansaction)

of reporting period (t) (2) Value Value Method Code 2


(J-P) Code 3

(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 ....

Name of Person Reporting simpson, charles r.

Date of Report 4/19/2011

e, value, ~ra~sactio~ ttncludes those of sp ......a dependent children see pp. 34-60 of fillng 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 reporling period (i) (2) Amount Type (e.g., Code I div., rent,
(A-H) or int.)

Gross value at end of reporting period (0 Value Code 2


(J-P)

Transactions during reporting period


(2) (3) (4) Date Value Gain mm/dd~yy Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)

(2) Value Method


Code 3

Type (e.g., buy, sell, redemplion)

(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

Dividend Interest Interest Interest Interest Dividend

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

FINANCIAL DISCLOSURE REPORT Page 6 of 10 VII. INVESTMENTS and TRUSTS - i ....

Name of Person Reporting simpson, charles r.

Date of Repor~ 4/19/201 I

e, value, tr .... ,ions (Includes those ofsp ......

d dependent children: seepl~ 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 (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

Transactions during reporting period (I) Type (e.g., buy, sell,


redemption)

(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I


(J-P) (A-H)

(5) Identi~y of buyer/seller


(if private

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

Churchill Downscom Healthsouth com


National Hlth invs com Penna Real Est Invest. Trust corn ventas tom Vanguard Tax-managed Cap Apprec Adm fd

A A A A B C

Dividend Dividend Dividend Dividend Dividend Dividend

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

FINANCIAL DISCLOSURE REPORT Page 7 of 10

Name of Person Reporting simpson, charles r.

Date of Repor~ 4/19/2011

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)

i Amount Code I ~ (A-H)

52.

Vanguard Tax-mamged Intl fd

B A C
C

Dividend Dividend Dividend


Dividend

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

FINANCIAL DISCLOSURE REPORT Page 8 of 10

Name of Person Reporting simpson, charles r.

Date of Report 4/19/2011

NONE (No reportable income, assets, or transactions.)


A. Description of Assets (including trust assets) B. Income during reporting period Gross value at end of reporting period D. Transactions during reporting period

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

(I) Type (e.g., buy, sell, redemption)

(2) Date mm!dd/yy

(3) (4) Value Gain Code 2 Code I (J-P) (A-H)

(5) Identity of buyer/seller (if private transaction)

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

FINANCIAL DISCLOSURE REPORT Page 9 of 10

Name of Person Reporting simpson, charles r.

Date of Report 4/19/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

FINANCIAL DISCLOSURE REPORT Page 10 ofl0


IX. CERTIFICATION.

,Name of Person Reporting simpson, charles r.

Date of Repor~ 4/19/2011

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.

Signature: S/charles r. simpson

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