john w lungstrum financial disclosure report for 2009

8/3/2019 John W Lungstrum Financial Disclosure Report for 2009

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I . 4 0 t o FINANCIAL DISCLOSURE REPORT . R e p o r t R e q a i r c d b y t h e E t h ic sin Government Act t~i 1978I R e ~ . t / 2 o t o FOR CALENDAR YEAR 2009 0 u , s . c a p p . , ~ , ~ ~ o t - ? ~ i )I . Person R epor t i ng ( l as l mn ~e , f i rs t, midd le im~ i ,~ ) 2. Cour t o r Organizat ion " ~ 3 . D~e o f Repor tL.uugst~m, John W. USDC, District o~ Kansas 05111/2010

4. [itlc (A~cle 111 judges md~cat achve or scnior status: 5a. Report Type (check appropriate type) 6. Rcporling Periodt~agistratc judges indicate full- or part-time) ~ Nomination, Date 0}/01 /2009U.S. District Judge (Active) ~ Initial .~ A .... t ~ Final to12/3 I,20095b. ~ Amended Report

7. Chambers or Office Address 8. On the basis of the information contained in lhi~ Re po~ and anymodifications pertaining lhtreto, it is, in my opinion, in compliance517 U.S Courthouse with applicable law~ and r~ulalions.500 Sta te Ave nueKansas City, KS 6610~ Reviewing O~ c r Date

IMPOR TANT NOTE S: The instructions accompanying this form mast be fol lowed. Complete al l parts ,checMng the NO NE box for each part where you have no reportable information. Sign on lastpage.

I . P O S I T I O N S . ~ p o , , i ,g i , a i ~ i a . ~ o n ~ . : ~ , p ~ . 9 - ~ ~ o , ~ , ~ , , ~ i . ,~ , , , ~ , ,, ,~ a~ (No reportable positions..)ONE

P OSITION N A M E OF OR GA N IZA T ION /EN T ITYI. Visiting Pr~2ssor from the Judicial Unive~ity of Kansas Scheol of Law (as approved by Chief Judge of my Circuit)

2. Director and officer Westward Ho. Inc. (co~orat~on which owns residential property for personalrise)

! !. A G R E E M E N T S . m~ o~,i,g i, ai, , iu~,t o,~y: , , ,pt, . u-u of filing instructions.) i25DN O N E (No reportable agreements.)

DATE P A R T I E S A N D T E R M SI.


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P a g e F I N A N C I A L 2 o f 9 D I S C L O S U R E R E P O R T [ L u n g s tr u m , J o h n W . 0 5 / ! 1 / 2 0 1 0

I II . N O N - IN V E S T M E N T I N C O M E . ~o~,~g~,ai~ia~,a~ ..... ;~,~.A, F li er s No n - i n v es t m en t In co m e

N O N E ~ N o reportable non-investment income.)DATE ~OUR~E AND TYPE (yours, not spouses)

t. 2009 University of Kansas i~come f~r approve d ~eaching $4.161 .73

2.

3.

4.

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - tf you a~re married during any portion of the reporting year, complete this section.(Dollar amolml ~ot r~,qui~ed exccpt fi~r hono~ar~a.)~ NONE (No reportable non-investment income..)

~ SOURCE AND ~YPE1.

2:

3.

4~

IV. REIM BURSEM ENTS ....... portation, lodging, food, entertai .... t,~/~).h~des thos~ to .~pott.~e and d~pc, ndent children." see pp 2~- 27 ~ fiiing tn~t~ucttons.)

~ N O N E OVo reportable reimbursements.)~ DAT~ L O C A T I O N PURPOSE !TEMS, ,pAID ~R PR OVIDED

I. F ed era l Ju d ge s A ss oc ia tio n 0 5/ 01 /0 9 - 05 i0 4i0 9 W~hington, D.C. Board of Directors Meetin Travel Expenses

3.

45.


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ta m e o f Per so n Repo r tin g Da te o f Repo r tFINANCIAL DISCLOSURE REPORT I L~mgstrum, John W.05/I 1 / 2 0 1 0age 3 o f 9

V . G I F T S . ( h , c h , d e s t h o , e t o 3 p o n s e a n d d e p e n d e n t c h i l d r e a ; s e e p p . 2 8 - 3 1 o f f ! l i n g in s t r u c t io n s . )N O N E (No reportable g~s.)

~ DESCRIPTION VALU~

3.4.5.

V I . L I A B I L I T I E S . t ~ , , c l ,, d , ~ t h , , ,- , o / s ~ , . .. .. . d dependent children; see p p . 3 2 - 3 3 of filing i[] N O N E 6 V o reportable liabilities.)

CREDIT O R DESC;RIPTIQN V A L U E C O D E1.2.3

4.

5.


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FINANCIAL DISCL OSURE REPORT ~ ..... f P . . . . . R ~ p o . , . g D . t e o ~ ReportPage 4 o f 9 Lungstrum, John W. 05/I I;2010

N O N E (No reportable income, a~sets, or [ransactions.)

D c ~ r i p u o n o f A ~ g c t g I n c o m e d u r i n g G r o s s v a h ~ c a t e n d Tmsactions during rcpoging p(ri~( i ~ c lu d m g tm s ~ a s s ~ ) ~. rcpomng ~ri~ o f ~ c p o ~ i n g p e r i o d

~ O) ~2) (~) ~ (~) (~ ~ (2) i (3) i (a) (5 )P l a c ~ t ( X ) " a f ic r e a c h ~ s c t ~ A m o u n t T y p e ( c g . , V a l u e V a l u e T~e (e.g., [ Date [ Value ~ Gain I d e n t i ty o fe x e m p t f r o m p r i o r d i sc l o s u r e : C~e I d i v , r e i n , C ~ d c 2 ~ M e t h o d b u y , s e l l . ~ m ~ d & )~ ~ C o d e 2 ~ C o d e 1 b u ~ c r / s c l l c r~ ( A - H ) o r m t . ) ( J - P ) l Code3 r e d e m p t i o n ) , ; ~ ( J - P ) ~ ( A - H ) ( i f p r i v a t e~ . ~ ( Q -W ) i t t r a n s a c t i o n )

1 Morgan Slanley Liquid Asset Fund (Money A Dividend JM k t )2. Tucson AZ Wtr DisL (Bond) A I n t e r e s ~ K T B uy 08131/09 K

3. CoLlege Station TX School District (Bond) A I n t e r e s t K T B uy 0 8 / 3 b : 0 9 K4. Johnson (.~, KS W ater D~st A I n t e r e s t K T B uy 0 6 / 1 5 1 0 9 K5. Eaton Vance Tax M GD Growth Fund A Dividend K T(Mutual Fund)6 . Kansas State DOT (B ondi A I n t e r e s t Sold 09/01/09 K A7. Lawrence KS GO (Bond) A I n t e r e s t J T8. Johnson Co Wtr Dist (Bond) B I n t e r e s t K T9. Kansas St, H ~ 3 - Rev (Bond) A I n t e r e s t Sold 09/01/09 J A

1 0. Derby GO (Bond) B I n t e r e s t K T1 l. Kansas St Dev Li (B ond) A I o t e r e s t K T12 . Johnson Co Pk & Rcc (Bond) A I n t e r e s t J T1 3. Topeka KS GO (Bond) A I n t e r e s t Sold I I 1 0 2 . ; 0 9 K A1 4. Coffeyville Electric Utility (Bond) A Inlerest J T15 . Johnson Co Wtr Dist (Bond) A I n t e r e s t l T16 . Cowley count) USD (Bond) A I n t e r e s t K T17 . "EV Kansas Municipals (Mutual fired B I n t e r e s t L T


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F I N A N C I A L D I SC L O SU R E R E P O R T Name of Person R~porting [ Da,c of R e p o r tPage 5 of 9 Lungstrum, John W.

V I I. I N V E S T M E N T S a n d T R U S T S -- i ......... tue, t ..... 6ons ancludes those of s~ ..... d depend ..... hild ..... e pp. 34-60 of fiting i ........ ion,sON ~ N E (No reportable income, assets, or transactions.)

A B, C. D.Dcscnp~ton of Assc~s Income during Gross value at end qrallsaCtlOfl5 during rcpoflmg periodiJnctuding t~st asscls) rcpornag period of reporting period

(~ (2 ) (n 2)PEace "(X )" after each ~sct ~Amount Type (e .g . , Value Value T~c (e.g., t Date ~ a uc Gain ldcal~ty ofexem pt l?0m ~rior disclosure [ Code [ div., rent, Code 2 Mcth~ buy. sell, m~dff~, ~ Code 2 i Code I buyer/softer(A-H) or mt.t (J-P~ Code 3 redcmphon)

(Q -W ) ~ ~ransaction)

!8. IL~ E Interest O T1 9 . -MSDW Liq. Asset (Money market fultd)

20 . rMSDW Mid-Cap Growth FD (Mutual Sold 06!17/09 K AFun d)21 , -Se lect Future Fund (Mutual Fund)~" -MSDW Re a l Es tate Fund (Mu tua l Fund )

-MSIF Small Cap Value lnstl (Mutual l::und~ Sold 06117/09, .t A(part)24 . -MSDW Internalional Fund D (Mutual Sold 06 /t7,0 9 K AF un d )25 . -Setnp:-a Energy(Bond)26 . -General Motors Acceptance Corp. (Bond)

27 . -May Dept. Stores Co. (Nolei "l

28 -Lord Abbot t B ond De b C (M utua l Fund ) B uy 06/16/09 K29. -Financing Corp. Set D (TreasuD) Redeemed 08/03109 K A30 . -MSDW S&P 5 Ol l Inde x (Mu tua l Fund ) Sold 06/I7..09 J A31 -Van Kampen Con~stock I Mutual Fund) Sold 06/17/09 K A32 -FideliLv Advisor Mid Cap A (Mutual Fund) Sold 0 6 / 1 7 / O 9 J A

3 3 . -lag Imq Value A (Mutual Fund) Sold 02/02/09 J A3 4 . -Janus Mid Cap \"~.lue FD (Mutual Fund) Sold 0 6 1 1 7 / 0 9 J A


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[FINANCIAL DISCL OSURE REPORT ] ~ .... f P e r s o n ~ p o ~ , in ~ a a t ~Page 6 of 9 [ Lungstrum, Juhn W. 0 5 / 1 1 1 2 0 1 0

[~ NON E (No reportable income, assets, or transactions.)

D c ~ r ~ p t i o n o f A s s e t s I n c o m e d u r i n g G r o s s v a T u e a t e n d ~ T r a n s a c t i o n s d u r i n g r c p o m n g ~ r i o d( i n c l u d i n g t r u s t a s s e t s ) re.fling period o f r e p 0 ~ l n g p e r i o d ~~ (t) ~ (~ (U ~ 2 ) ~ (O i t2) ~ (.)Place"(X)" a~ereach asset ~ A m o u n t [ T y p e ( e . g ., V a l u e V a l u e ~ T y p e ( e . g . ~ D a t e ! Value [ Gain l d e n t i t y o f~ (A-tl) [ o r m L ) ( J - P ) C o d e 3 ~ r e d e m p t i o n ) ~ ~ ( J - P ) [ ( A - H I ( i e p r , v a t c

3 5 . -MSDW S&P 500 Index Fund B (Mutual Sold 0 6 / I 6 / 0 9 J AFund) ~ 6 . -Davis New York Venture A (Mutual Fund) Sold O6/17/09 K A3 7 , -RS Partners Fund (Mutual Fund) 06/17/09 J A3 8 . -SBC Com munications Inc. (Bond)3 9 . -MSDW Equally W eighted S&P 500 Sold 06/17/09 J A(Mutual Fund)

4 0 . -Oppenheimer Int] Bond FD (Mutual Fund),4 1 . -MS N atural Resource (Mull Fund) B uy 06/16/09 J

4 2 . -~V Income FundofBoston A (Mua~al Sold 08/17/09 J AF u ~ l d4 3 . -FideliW ADV DVRSFD lntt A (Mutual Sold 0 6 / 1 7 , 0 9 J A

Fund)4 4 . -Foc~ard H~ver Sm Cap Eqi hw (Mutual Sold 06;17/09 ~ J AFnnd)45 ~ -Virus Real Estate Sec A tKa Phoenix R E Sold 06/I7,09 I ASec A (m ural I~nd)4 6 , -MS ChaaerGraham (Mutual Fund)4 7 . -MS Charter As~ct L (Mutual Fund)4 8 . -MS Spec~m T~h (Mu tual Fund)4 9 . -Hartford Cap Apprec A (Mutual Fund) Sold O6/17/09 K A

5 0 . -Lazard Emerging Markets I (Mutual Fund) Sold 06/17/09 J A5 1 . -MS Eme rging Ivlkts Domestic Debt (Mutua~Fund)


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Ia me o f Pe r so n Re po r t ing [ Dale of ReportF IN AN C IA L D IS CL O S U RE R EP OR TPage 7 of 9~ N O N E (:Vo reportable income, assets, or transactions.)

A. B. C D .Dcscripdo~ of ASSClS Income during Gross value al end Transactions during reporting period0ncluding l~sl assets) re~rnng ~r~t~ of reporting ~nod

O) (~ ) (U (2) ~) (3) ~ (S)Place "(X )" a~cr each asset Amounl T~ (e.g., Value Value Type (c.g., Dale Value ~ Gain [dcnttly ofexcmpl t?om prior disclosure Cede I d~v.. rent. Cede 2 Meted buy, sell m~d~z~ Code 2 Code I buyenscllc~(A-H) or ml.) (J-P) Code 3 rcdcmp[~on) (J-P) A-H) (if prl~ate

52 . -Van KMPN Dynamic CR OPP Fund(Mural Fund)

53 . -MSIF US Large Cap GR Po~ A (Mutual Sold 06/17;09 K AFund)5 4 -H&Q H~lthcare Fd (Mutual Fund) B uy 06/17~09 J55 . -B lackm ck US Opportunities (Mutual Fund)~ B uy 06/I 7,0956 . -B lackrock Equ i ty D iv (Mu tua l Fund ) B uy 06/17;09 K57. -E.V Large Cap Value A (Mutual Fund) B uy 06/17,09 K58 . -Hende~on tnttOppor~nities (Mutual B uy 06/17~09 KFund )59 . -I~" Large Cap G~v A (Mutual Fund) B uy 0&"17~09 K60 . -Jennison Nat l Resources A (M uO~al Fund B uy 06/17~09 K61 . -Lazard Emerging Marke~s Open (Mutual B uy 06/17.,O9 KFund)62 . -Nuveen Tradewinds Vat Opp. A (Mulual B uy 06/I 7;09 KFu nd63 . - O p p e n h e i m e r G o l d & S p e c M i n A ( M u t u a l Bu y 06, I 7/09 JF u n d )64 . -Tho~burg Intl Value A (Mutuzl Fund) B uy 06,] 7., 096 5 . - V z a K a ~ p e n S m a l l C a p G r o w l h A ( M u t u a l Bu y 06, ;17/09F u n d )66 . - M a i n s t a y L a r g e C ~ p G r o ~ q h A ( M u ~ a l ~ uy 06,"I 7: 09 KF u n d )


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FINANCIAL DISCL OSURE REPORT I n .... fP . . . . . R c p o r t i n g [ O .... f R e p o r ,Page 8 of 9 Lungstrum, John W. 05/I 1/2010V III . ADDIT IONAL INFORM AT ION OR EXPL ANATIONS. a~d;, ,a , ,p, ,~o /r ,ro , , )

I have treated reit~vestment programs as exem pt because the.-,, ~erely represent a change in the furm of the asset.W ith regard to the IRA (line 18), I have only shown interest in Column B( 2) because the computer program would pe rmit listing only one type. Howev er,dividends and capital gains were also realized by the IRA.


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F IN AN C IAL DISCLOSURE RE PORT [ N .... f P ... . . R c p o r t i n g I [D a t e o f R e p o r tPage 9 of 9 [ Lungstrum, John W. [ 0 5 / I 1 / 2 0 1 0IX. CERTIFICATION.

I certify thai all information given above (including information pertaining to my spouse and minor or depend ent children, if any) isaccurate, true, and com plete to the best uf my knowledge and belief, and thai any information not reported was withhe ld because it m et applicable sta|otoryprovisions permitting non-disclo~nre.i further certi[y that earned income from outside em ploym ent and honoraria and the acceplance of gifts which have been reported are incompliance with the provisions of 5 U.S.C. app. 50 1 et. seq,, 5 U.S.C. 7353, and Judicial Conference regulations.

S i g n a t u

NOTE: ANY INDIVIDUAL W HO KNOWIN GLY AND WILFUI,LY CIVILAND CRIMIN AL SA NCTIONS (5 U.S.C. app. 104)

F I L I N G I N STRU C I I O N SMail signed original and 3 additional copies to:

Com m ittee on Financia~ DisclosureAd m inistrat ive Office of the U nited Stales CourtsSuite 2-30 tOne Columbus Circle, N.E.W ashington, D.C. 20544

john w lungstrum financial disclosure report for 2009

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