An 10

1/2olo

FINANCIAL DISCLOSURE REPORT FORCALENDAR YEAR 2009

2. Court nr Organization U.S.D.C. Northern Ohio 5a. Report Type (check appropriate: type) Dat~ [] Nomination, [] Initial [] Annual [] Final ,, 5b, [] Amended Report 8. 0. ,he basis of the i~formatian contained in this l~eport and any modifications pertaining thereto, it is, in my epluion, in compliance with applicable laws and regulations. Reviewing Officer

Reportin GovernmentRequired ActbY theof lEth (5 u.s.c app. ~"

3. Date of Report 05/01/2010 I 6. Reporting Peried 01/01/2009 to 12/31/2009

1. Person Reporting (last name, first, middle initial) Katz, David A. 4. Title (Article Ill judges indicate active or senior statusl " magistrate judges indicate full- or pan-time) Senior District Judge

7. Chambers or Office Address 307 U. S. Courthouse 1716 SpielBusch Avenue Toledo, OH 43604

Date

IMPORTANT NOTES: The instructions accompanying this form m~t be followed. Complete all parts,
checMng the NONE box for each part where you have no reportable informatio~ Sign on last pag~

1. POSITIONS. ~o,~ ~,~,t~ot o,~y ; ~ ~ ~ , of f!ting inst,uctions.)

[-~ NONE (No reportable positions.) POSITION
1. 2, Vice President & Trustee Member

NAME OF QRGANIZATION/ENTITY
David S. Stone Foundation National Council of Ohio State University College of Law

3.
4. 5.

Trustee Emeritus
Member Member

Memy Health System - Northern Region

Toledo Zoo Foundation Board Advocates for Victims & Justice, Inc. Board

NONE ~o reportable agreemenu.)

DATE PARTIES AND TE~S

Katz, David A.

FINANCIAL DISCLOSURE REPORT Page 2 of 7

[ Name of Person Reporting

I Katz, David A.

Date Of Report 05/01/2010

HI. NON-INVESTMENT INCOME. (nepom,g tndi,ta,a ~d epo~s,; ,ee pp. 17-24 ol".t-ding instr~caons,)
A. Fliers Non-lnvestment Income NONE (No reportable non-investment income.) DATE I. 2. 3. 4. SOURCE AND TYPE iNCOME (yours, not spouses)

B. Spouses Non-lnvestment Income - If 2"au were married during an2"portlon of the reporting year, complete this section
(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.) DATE 1. 2. 3. 4. 8OURCE AND TYPE

IV. REIMBURSEMENTS (Includes those to spouse and dependent children," see pp. 25-27 of f!ling instructions.)

NONE (No reportable reimbursements.) SOURCE DATES_

6/24/09 - 6/25/09

LOCATION
New York, NY

PURPOSE
Panel Speaker

ITEMS.,,pAID OR PROVIDED
Expenses, transportation, lodging, meals

1.

American Conference

Institute

2. 3, 4. 5,

FINANCIAL DISCLOSURE REPORT Page 3 of 7

N ....

fPerson Reporting

Date of Report

K.~ David A.

05t01/2010

V. GIFTS. (Incluaes those to spouse and dependent children; see pp. 28-31 offiling instruaions.)
NONE (No reportable g~s.) SOURCE
1.
2. 3. 4. 5.

DESCRIPTION

VALUE

VI. LIABILITIES. a, au,~,sthos,

NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.

DESCRIPTION

VALUE CODE

FINANCIAL DISCLOSURE REPORT Page 4 of 7

I N .... [ Katz, David A.

fPerson Reporting

Date of Report

05/0112010

NONE ~o reporlable income, ~sets, or transactions.).

A. ~s~ion of A~ts (i~cl~g ~st a~e~) ~ B. Income d~ng r~ing p~od C. Gross value at end of re~ng ~d D. Transactions d~ng mpo~ng

exempt from prior di~losure

C~e I Idiv., renL

C~e 2

I Me~hod

<A-~I o, i~t.)
I. ~ Co~ [nc fomcrly Pacific Place Ltd B Ha~fo~ Fund. SVCS GPP (~j Diddend

(~-e) C~e3 ]

buy, ~11, ~demption)

m~d~ I C~v 2 I C~e 1 I O-P) (A-H, I

buys/seller (if pfivam

2.

None

Sold

01/29109

3.

Citigroup ~c. (s)

Dividend

4. 5.
6.

Israel Bond (4) Fifth Third Bank~afe (4)

Express Scripts Inc. (s) UM8 Scout Worldwide Fund (S)

A A

Interest Interest
None

Redeemed K
J

12/16/09

T
T

-~. 8.
9. 10. ~1. 12.
13.

Dividend

Vanguard Total Skt Mkt-Vipers(S)

IRA, composed of security investment fund Fifth Third Vanguard Long-Term Bond Earthlink, Inc. Quantum CP
Web.Com Group American Growth Fund

A
E B

Dividend
Dividend Dividend None None
None

J
O K J J
J

T
T T T T
T

Buy Buy
Buy

08/11109 08/I 1/09

08/11/09

J J

14.

Dividend

15.

Federated Strategic Value Team

Dividend

16. 17.

Touchstone Mid Cap Growth Vanguard Selected Value

Dividend None

T Sold 09/25/09 K

I. Income Gain Cod~: 2. Value C~ (~ Colu~s CI and D3) 3. Val~ Me~ ~d~ (~ Column ~)

A =$1,009 or less J =$1 $,~ or I~s N =$250,001 - ~0,0~ P] ~25,~,001 - $50,~,0~ Q =Appmi~l U =~k Value

B =$1,001 - $2,500 K =$15,~ 1 - $50,~ O R V ~her

C =.V2,501 - $5,~ L ~50,~ 1 - $100,~0 ~ =Morn ~ $~,~,~ W =~d

D ~$5,~1 M =$ I~,~ 1 - $~0,~

FINANCIAL DISCLOSURE REPORT

Name of Person Reporting ] Katz, David A.

Date of Report

Page 5 of 7

05/01/2010

VII. INVESTMENTS and TRUSTS - ~nco,.e, value, transactions (lnctudex those of sp ..... d dependant children; see pp. 34-60 of fiflng instructions.)
NONE (.No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Plac "CX)" after each asset B. Income during reporting period t Type (e.g., div., rent, or int,) C. Gross value at end of reporting period Value Code 2 Value Method Code 3 Type (~g., D. Transactions during reporting period

Date

exempt from prior disclosur~

(J-P)

buy, sell, redemption)

mm/dd/yy

Value Code 2

Gain Code I

ldentity of

(J-P)

(A-H)

(Q-W) 18.
19. ~0, 21.
22.

buyez/seller (if private t~ansaction)

Vanguard Short-Term Inv

OppenheimerDiv. MKT American High Inc. Tro Diamond Hdl Large Cap
American Cap World G & I C

Non~"
B A Dividend Dividend None
Dividend

L
L

T
T

Buy

01/27/09

Sold Sold
Sold

12/15/09 12/15/09
12/15/09

K K
K

23.

I. Income Gain Codes: (Sc Colunms BI ~nd D4) 2. Value Codes (Scg Colunms CI and D3) 3, Value Method Cod~s (See Column C2)

A =$1,000 or less F -550,001 - $ I00,000 J =$15.000 or tess N =$250,001 - $500,000 P3 ~0.5,000,001 - $50,000,000 Q =Appraisal U =Book Value

B ~$1,001 - $2,500 O -$10~,001 - $1,000,000 K =$15,001 - $50,000 0 =$500,001 - $1,000,000 g =Cost (gt=al Estat~ Only) V~

C ~$2,50| - $5,000 H] ~$1,000,001 - $5,000,000 L =$50,001 - $100.000 Pl ~$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Esda~tcd

D ~$5,001 - $t 5.000 1-12 =Mo~ than $5,000,000 M ~$ I00,001 P2 =$5,000,001 - $25,000,000 T -~ash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 6 of 7

] Name of Person Reporting

Date of Report

o5/o1,2olo [ Katz, David A.

I

VIII. ADDITIONAL INFO~TION OR EXPLANATIONS. a,.~c.tep.,tof~e~,0,~

IX. CERTIFICATION.
1 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 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 FALSll AND CRIMINAL SANCTIONS (f~ 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