AO IO Rev.

1/2011

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

2. Court or Organization Western District of Missouri
5a. Report Type (check appropriate type) ] Nomination, [] Initial Date [] Annual [] Final

Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app..~.~ 101-111)

I. Person Reporting (last name, first, middle initial) WHIPPLE, HAROLD "DEAN" D. 4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time)

3. Date of Report 05/10/2011 6. Reporting Period 01/01/2010 to 12/31/2010

U. S. DISTRICT JUDGE (Senior Status)

5b. [] Amended Report

7. Chambers or Office Address 8462 Chas. Evans Whittaker Crt 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 is, in my opinion, in compliance ,,vith applicable laws and regulations.

Revie,~ing Officer

Date

IMPOR TANT NOTES: The instructions accompanying this form must be followe,t Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.

I. P O S IT I O N S. tReponlng individual only; see pp. 9-13 of filing instructions.)

1-~ NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY

2. 3. 4. 5.

II. AGREEMENTS. ~Repo~in~ ind~idual only: ,,, ~,~,. 14-16 of filing instructions.)
[~] NONE (No reportable agreements.) DATE PARTIES AND TERMS

Whipple, Harold " Dean " D.

FINANCIAL DISCLOSURE REPORT Page 2 of 9

Name of Person Reporling WHIPPLE, HAROLD "DEAN" D.

Date of Report 05/10/2011

II1. NON-INVESTMENT INCOME. tRepo.i.g individual and spouse see pp. 17-24 of filing instructlon~O
A. Fliers Non-Investment Income

D
1. 2010 2. 3. 4.

NONE (No reportable non-investment income.) DATE SOURCE AND TYPE

Missouri Judges Retirement System - Pension

INCOME (yours, not spouses)

$38,385.00

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.)

V--]

NONE (No reportable non-investment income.)

DATE
1. 2010 2. 3. 4.

SOURCE AND TYPE

Administrative Office - U.S. Courts - Administrative Assistant

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

(Includes those to spouse and dependent children; see pp. 2.5-2 7 o filling instructions.)

t.

~]

NONE (No reportable reimbursements.) SOURCE DATES LOCATION

PURPOSE

ITEMS PAID OR PROVIDED

2. 3. 4. 5.

FINANCIAL DISCLOSURE REPORT Page 3 of 9

Name of Person Reporting \VHIPPLE, HAROLD "DEAN" D.

Date of Report O~/lO/201 I

V. GIFTS. a.c~.d.~,hoso,o s~o~se ~.ddor~.de.t children; see pp. 28-31 of filing instructions.) NONE (No reportable gifts.) SOURCE
1.

DESCRIPTION

VALUE

2. 3.
4.

5.

VI. LIABILITIES. a.ct.des ~hose olspouse u.d depe.de.t children; see pp. 32-33 offillng instruction~)
NONE (]go reportable liabilities.) CREDITOR
I. 2. 3. 4. 5.

DESCRIPTION

VALUE CODE

FINANCIAL DISCLOSURE REPORT Page 4 of 9

Name of Person Reporting WHIPPLE, HAROLD "DEAN" D.

Date of Repo~ 05/10/2011

VII. INVESTMENTS and TRUSTS - Zn,-o,,,e. v,,/oe, ~o~o.io~ (tndud~ those of spouse and dependent chi/dren: see pp. 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period i (I) (2) Type (e.g., i Amount Code 1 div., rent, (A-H) or int.) D. Transactions during reporting period (I) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm~dd~ Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)

Gross value at end

of reporting period

(i) Value Code 2

(J-P)

(2) Value Method

Code 3

1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17.

Woodlands, Dallas Co., MO Woodlands, Dallas Co., MO Office Bldg., Lebanon, MO 1/2 Owner woodlands, Laclede Co., MO I/3 Owner woodlands, Lebanon, MO Ally Demand Notes (formerly GMAC) Bank of America Accounts Corn Prod. lntl, com. stock Vail Resort, Inc. (common) Mid-Missouri Bank Account Cisco Systems, Inc. (common) Pepsico, Inc.(common) Federated Total Return Bond Fund Pimco Foreign Bond Fund Vanguard GNMA Fund Vanguard Developed Markets Index B C B B B A B B A

None None None None None Interest Interest Dividend None Interest None Dividend Dividend Dividend Dividend Dividend

L K K J K K M J

W W W W W T T T Sold 05/21/10 J

Sold
Sold L L K L T T T T

05/21/10 J
05/26/10 L

Buy Buy

04/14/10 05/28/10

J J

I. Income Gain Codes: (See Columns BI and I)4) 2. Value Codes (See Columns CI and D3) 3. Value Mclhod Codes (See Column C2)

A =$1.000 or less F =$50.001 - $1 00,000 J =$15.000 or less N =$250.001 - $500.000 P3 =$25.000.001 - $50.000.000 Q -Appraisal U =Book Value

B $1,001 - $2,500 G =$100.001 - $1.000,000 K =$15.001 - $50.00) O =$500.001 - $1.000.000 R =Cost (Real Eslate Only) V =Olher

C ~$2.501 - $5,000 Ill =$1.000,001 - $5.1900.000 L -$50.001 - $100.0(~) PI =$1.000.001 - $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 MarkO

E =$15,001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 5 of 9

Name of Person Reporting WHIPPLE, HAROLD "DEAN" D.

Date of Report 05/10/201 I

VII. INVESTMENTS and TRUSTS -inc~me~va~ue~transacti~n~(~nc~ude~th~se~fsp~useanddependentchi~dren;seepp.34~6~f~inginstructi~n~)

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) i Amount Type (e.g., i Code I div., rent, i (A-H) or int.) Gross value at end of reporting period (t) (2) Value Value Method Code 2
(J-P) Code 3

Transactions during reporting period

(I) Type (e.g., buy, sell, redemption) (2) (3) (4) Gain Date Value mnddd~ Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction}

(Q-W) 18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. Northern Fund Global 31. 32. 33. 34. Vanguard TIPS [a]k!a Vanguard Inflation Protected] C Dividend M A Dividend K
IRA#1 A Dividend K

Buy Vanguard Institutional Index A Dividend L Buy Sold (pan) Dimensional Fund Advisors Investment Dimensions Group D Dividend T Buy Sold (part) T

12/16/10 J 05/28/10 J
12/01/10 04114/10 12/01/10

J J J

-- AIM Intl. Mutual Fund -- AIM Equity FundsCLA AIM Growth SER Harley Davidson, Inc. Pim. Comm. C A B Dividend Dividend Dividend L M Sold Buy Buy Buy Buy Buy Buy Buy 05/21/10 !05/28/10 12/16/10 04/14/10 05/28/10 12/16/10 04/14/10 05/28/10 J J J J J J J J

I. Income Gain Codes: (See Columns BI and D4) 2. Vahle Codes ISce Columrts CI and D3) 3. Value Method Codes (See Column C2)

A -$1,000 or tess F ~$50.001 o $100.00~ J =$15.000 o~ less N $250,001 - $500.000 P3 =$25.000.001 - $50.0~0.00D Q =Appraisal U =l:k~ok Value

B =$1.001 - $2.500 G =$100,001 - $1.000.0~0 K =$15,001 - $50.00(* O =$50~.001 - $1.000.000 R =Cost (Real Eslate Only) V =Olhcr

C -$2.501 - $5,000 III =$1.000.001 - $5.000.000 L =$50.001 - $100,000 P I =$1,000.001 - $5.000,000 P4 =More than $50.000.0~0 S =Asscssm~.mt 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 6 of 9

Name of Person Reporting WHIPPLE, IIAROLD "DEAN" D.

Date of Report 05/10/2011

VII. INVESTMENTS and TRU STS - inco,~e. ,,alue, t,a~c,la,~ anclude, those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "00" after each asset exempt from prior disclosure B. Income during reporting period [ (I) (2) Type (e.g., Amount Code I div., rent, (A-H) or int.) [ C. Gross value at end of reporting period (I) (2) Value Value Code 2 Method (.l-P) Code 3 (Q-W) (I) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value mn~dd/yy Code 2 (J-P) Gain Code I (A-H) (5) Identity of buyer/seller (if private transaction) D. Transactions during reporting period

35. i36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51. Vanguard Int-Term Inv. Grade B Dividend K T Federated Ultra-Short Bond
Vanguard Short-Term Inv. Grade

Buy

12/16/10 04/14/10 05/28/10 12/16/10

J J J J

Vanguard Index Funds Grw Idx Signal

Dividend

Buy Buy Buy

Central Bank Accounts Bank Midwest Account Garmin, LTD Federated High-Yield Bond

A C A B

Interest Interest Dividend Dividend

J M

T T Sold 05/21/10 01/14/10 04/14/10 05/28/10 12/01/10 12/16/10 J J J J J J

Buy Buy Buy Sold (part) Buy

A B

Dividend Dividend

J K

T T
Buy Buy Buy Buy 04/14/10 05/28/10 12/16/10 04/14/10 J J J J

1. Income Gain Codes: (See Columns B I and D4) 2. Value Codes (S~c Columns CI and D3) 3. 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 =$25.000.001 - $50.000,000 Q =Appraisal U =Book Value

B -$1.001 - $2.500 G =$100.001 - $1.000.000 K =$15,001 - $50.000 O =$500.001 - $1.000.000 R Cost tRcal Estate Only) V =O~ht"r

C ~$2.501 - $5.000 Ill ~$1.000,001 - $5.000.000 L ~$50,001 - $100.000 PI =$1.000.001 - $5.000.000 P4 =More than $50,000.000 S ~Asscssmen! W =Eslimatcd

D =$5.001 - $15.000 112 =Marc lhan $5.000.000 M $100.001 - $250.000 12 -$5.000.001 - $25.000.000 T =Cash Mark~.~

E =$15.001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 7 of 9

Name of Person Reporting \VIlIPPLE, IIAROLD "DEAN" D.

Date of Report 05/10/201 I

VII. INVESTMENTS and TRU STS - income. ,alue. ,r ..... ,ions (Includes those of spouse and dependent children: see pp. 34-60 of filing instruction~.)
"---] NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period i (I) (2) i Amount Type (e.g., ~ Code I div., rent, , (A-II) or int.) . C. Gross value at end of reporting period (I) (2) Value Value Code 2 Method Code 3 (J-P) (Q-W) D. Transactions during reporting period (I) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm!dcYyy Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)

52. 53.

Buy
Buy

05/28/10 J
12/16/10 J

I. Income Gain Codes: (Sce Columns BI and D4) 2. Value Codes (See Columns CI and D J) 3. Value Mclhod Codes (See Column C2)

A =$1.00~ or less F =$50.001 - $100.000 J =515.000 or less N =$250.001 - $500./~0 P3 =$25.000.001 - 550.000.000 Q =Appraisal U =Book Value

B $1.001 - $2.500 G -$100.001 - $1.000.000 K =$15.1)01 - 550.000 O =.$500.001 - $ I.O00.O00 R ~ost (Real Estate Only) V =Olher

C =52.501 - $5.000 III =$1.000.0QI - $5.0(~.0~) L =$50.001 - $100.000 PI =$1.000.001 - $5.000.000 P4 =More than $50.000.000 S -Assessment W -Estimated

D =$5.001 - $15.000 112 =More than $5.000.000 M =$100.001 - $250.000 P2 =$5.000.00J . $25.000.0~ T ~ash Markc~

E =515.001- SS0.0~O

FINANCIAL DISCLOSURE REPORT Page 8 of 9

Name of Person Reporting \VHIPPLE, HAROLD "DEAN" D.

Date of Report 05/I0/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndlcate part of report.)

FINANCIAL DISCLOSURE REPORT Page 9 of 9 IX. CERTIFICATION.

Name of Person Reporting \VHIPPLE, HAROLD "DEAN" D.

Date of Report 05/10/2011

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. I further certify that earned income from outside employment and honoraria and the acceptance of gifts ~vhich have been reported are in compliance ~vith the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

Signature: S/HAROLD "DEAN" D. WHIPPLE

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