Dan Aaron Polster Financial Disclosure Report for 2010

8/3/2019 Dan Aaron Polster Financial Disclosure Report for 2010

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August 16, 2011

Judge Bobby R . Baldock, ChairJudicial Conference of the Un ited StatesCommittee on Financial DisclosureOne Columbus Circle, N.E.Washington, D .C. 20544RE: Calendar Year 2010 FilingDear Ju.dge Baldock:

At your request, I have enclosed my A mended Report. have provided all+.-the information I have regarding the assets in Part VII, lines 38, 39, 7 8 and 8 1.W ith respect to the accounts described on lines 51 an d 52, I have providedadditional detail in Colum n A, along with additional information in Part VIII onpage 14.

United States District JudgeDAP:dmwEnclosure


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A O 10Roy. 1/2011 I FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010 Report Required by the Ethicsin Government Ac! q f 1978( 5 U . ~ : C . a p p . ,~,ff" 101-111)I. Person Reporting (last name, first, middle initial)Polstcr, Dan A.

4. Title (Article Ill judges indicate active or senior status;raagistrate judges indicate full- or part-time)U.S. District Judge--Active

7. Chamhers or Office AddressUnited States District Judge18B Carl B. Slokcs U.S. CourtClcvehmd, Ohio 44113

2. Court or OrganizationU.S. Dist. Ct., ND O hio

Report Type (check appropriate type)] Nomination, Date[] Initial [] A .... 1 [] Final

3. Date of Report08/15/201

6. Repor[ing Period0 1 1 0 1 1 2 0 1 012/31/2010

5b . [] Amended Report8. On the basis of the information contained in this Report and anymodifications pertaining thereto, it is, in m~ opiniou, iu compliancewith applicable laws and regulations.

Reviewing Officer Date

1MPOR TANT NOTES: The instructions accompanyb,g th~ form mas t be fol lowed. Com plete a l l par ts,checking the NO NE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . (Report ing indivldnalonly; seepp, 9-13 of f i l ing ins truct ions .)~ N O N E (No reportableposi t ions.)

POSITION NAME OF ORGANIZATION/ENTITYI. Lifetime Trustee Agnon School

2. Lifetime Trustee Siegal College of Jewish Studies

3. Trustee Jewish Education Center of Cleveland ..... ,4. Trustee Jewish Federation of C leveland

5. "lrustce Bellefaire Jewish Childrens Bureau

6. Trustee ~ trust7. Board of Directors Federal Bar Assn (Cleveland chapter) "I~. Board of Directors Mt. Sinai Health Foundation

I I . A G R E E M E N T S . ( R e p o t , l a g i . d i~ i d , ,~ t o , , ly ; ~ e e p p . , 4 - ~ 6 o ~ i n g instructions.)--] NONE (No reportable agreements.)

1.1998

2.

DATE PARTIES AND TERMSU.S. Civil Service Retirement System (CSRS) vested pension for Dept. of Justice service (1976-1998); to be paid uponretirement from judicial service


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FINANCIAL DISCLOSURE REPORTPage 2 of 15

N a m e o f P e r s o n R e p o r t in gPolster, Dan A.


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N a m e o f P e r s o n R e p o r t in gPolster, Dan A. 0 8 1 1 5 1 2 0 1

I II . N O N - IN V E S T M E N T I N C O M E . (Reporting indi,,idualandxp ....... ; seepp . 17-24 of f i l ing i~ true tion.~)A. Fliers Non-lnvestment Income~ NONE (No non-investment income.)eportable

DATE SOURCE AND TYPE I N C O M E(yours, not spouses)I . 2 0 1 ( / Park Synagogue (Stipend for teaching 10th grade Confirmation class) $2,663.002.2010 Cleveland-Marshall School of L aw (taught class on mediation) $2,000.00

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 yo,, were married during an y port ion of the report ing yeor, complete thv sect ion.(DolhJr tm)ount trot required t, xcept.fi~r honoraria.)

~ NONE (No reportable income.)on=investmentDATE SOURCE AND TYPE

I. 2010 Hahn, Loeser & Parks (law firm)2.

3.

4.

IV . REIMBU RSEMENT S ....... . , ~ , o ~ , . , i o n . l , , a U ~ , , U , ~ , , , , d . . . . . . . i n . . . . . . ,.( 1 c / d e ~ " t ] m e t o ~ T m t s e a m t d e p e n d e n t c h i l d r e n ; s e c p p . 2 5 - 2 7 o f i l l in g i n s t r u c t i o n s . )~_~ (No reportable reimbursements.)ONE

D A T E S L O C A T I O N P U R P O S EOctober 20-21 New York, N.Y. P art icipate in CLE

ITEMS PAID OR PR O VI D E DA i r f a r e , o n e n i g h t h o t e l , m e a l s

S O U R C E1. American ConferenceInstitute

2. American Bar Assn. October i3-14 Chicago, I11. Participate in CL E A iffare, one night hotel, m eals3.4.5.


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FINANCIAL DISCLOSURE REPORTP age 4 of 15

N a m e o f P e r s o n R e p o r t in gPols ter , Dan A. 08/I 5/201 I

V. GIFTS. a , , , . ~ , , , ~ , , , . , ~ , . . . . . . . . . . , ~ , . . . . . . . . . . d a e p , , , a e , ,t e h i l d r e n : s e e p p . 2 8 - 3 1 of filing instructions.)N O N E (No reportable gifts.)

S.__O_U_R__C.I,;. D E S C R I P T I O NI.2.3.4.

5.

V_A_KU_E.

V I . L I A B I L l T I E S . a n e t ,d e . , " a , o ~ e , . , ~ o . . . . . . . d dependent chi ldren; see p p . 3 2 - 3 3 of f i l ing ins t ruct ion . )I- - - ~ N O N E (No reportable liabilities.)

C R E D I T O R D E S C R I P T I O NI.2.3.4.

5.

y_ N ._ _U_E_C_O_


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D a t e n f P.epor !0g/I 5/201 I

V I I. IN V E ST M E N T S an d TR UST S - i . .. . .. .. .. t . e , t ..... actions (Itzclttdes those of spouse and dependent childrett; see p p . 3 4 - 6 0 of filing in .......... i o n s . )[~ N O N E (No reportable income, assets, or transactions.)

D o s c r i p t i n n n f A s s e t s Income during(it|eluding trust assets) reporting period

( 1 ) ( 2 )P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g . ,e x e m p t f r o m p r i o r d i s e ln s u r e Code I d i v . , r e n t .( A - H ) o r i n t . )

18 . Chevron!Texaco A Dividend19 . wayne Cry Ohio Munic, Bonds B Interest

2 0 . Hamilton County Sewer Bonds A Dividend

21. DWS H igh Inc. Trust (formerly Kemper A DividendHigh Inc. Trus!22. lntel A Dividend

23. Parker Hannifin A Dividend24. Rydell Rusell Top 50 A Dividend2 5 . Goldman Sachs Money Mkt A Dividend2 6 . Henderson Intl Opp Fd A Dividend27. Costed Wholesale Corp A Dividend28. Vanguard Mid-Cap Fd A Dividend2 9 . MicrosoFt Corp. A Dividend

3 0 . Deere & Co. A Dividend3 I. FedEx Corp. A Dividend32.

33. Tenneco common A Dividend

3 4 . Embarq (spinofD A Dividend

Gross value at endo f r e p o r t i n g p e r i o d(1) (2)Valuo Value

Code 2 M e t h o d( J - P ) Code 3(Q -W)

K T

K TJ TJ TJ T

J TK T

J TJ TK TK TK T

D.Transactions during reporting period

(] ) (2) (3)T y p e ( e . g . , D a t e Value Gain I d e n t i ! y o fbuy, sell, mmidd/yy Code 2 C o d e 1 buyer/seller

r e d e m p t i o n ) ( J - P ) ( A - I t ) ( i f p r i v a t et r a n s a c t i o n )

Bu y 01105/10 K

Sold 1!/10/10 K

Sold 0 5 / 2 5 1 1 0 K

Bu y 05/25/10 KBu y 11/10/10 K

J

J

TT

Income Gain Codes: A -$ I ,(XR) or less B ,=$ 1,001 - $2,500 C =$2.501 - $5.000

(See Cohtmns (1 and D3) N ::S250,01) 1 - S500,000 0 =$5~.001 - $1,000,000 Pl =~ 1,000,00l - $ 5,000,000P3 ~S25,000,onl - ssn,oo0,000 P4 =More than $50,000,0~

D = $ 5 , 1 ) 0 1 - 515,000112 =More thau $5,000,000M =$ 100.001 - $ 2 5 0 , t ~ ) 0P 2 = S 5 , 0 0 0 , 0 0 1 - 5 2 5 , ( X I 0 , 0 0 t IT =Cash Market


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FINANCIAL DISCLOSURE REPORTP age 8 of 1 5

N a m e o f P e r s o n R e p o r t in gPolster, Dan A. ( )8 !15 /201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i . . . . . . . . . . t , , . , t . . . .. . . . a o . s O n L . t . & s n , o s e of .s~ ....... 1 dependent children; s e e p p . 3 4 - 6 0 of fillnl."[ ~ . ] N O N E (No reportable income, assets, or transactions.)D e s c r i p t i o n o f A s s e t s Income during(including trust assets) reporting pcriod

O) (2 )P l a c e " iX ) " a f t e r e a c h u s s c t A m ou n t T y p e ( e . g . ,e x e m p t f r o m p r i o r d is c l o s u re Code I d i v . , r e n t ,(A-It) o r i n t . )

G r o s s value at endo f r e p o r t i n g p e r i o dO) (2)Value - Value

Code 2 M e t h o d( J - P ) C o d e 3(Q-w)

O)T y p e ( e . g . ,buy, sell,

r e d e m p t i o n )

Transactions during reporting period(2) (3) (~) (5 )

D a t e Value Gain I d c n t i~ y o fmnddd/yy Code2 Code I buyer/seller

( J - P ) (A-t0 ( i f p r i v a t et r a n s a c t i o r 0

5 2 . FIR I~tawflrm (ABA Ret. Fd)managed5 3 .

Dividend

54. Money Market (MLynch) A Interest55. Transistor Devices common A Dividend56. Gabelli Utilities Fd A Dividend5 7 . American Gr. Fd of Am erica A Dividend

58. Cohen & Steers REIT A Dividend

JL

Jj

TW

TSold 04/13/10Bu y 04/13/10

Bu y 104/13/10

J

J

J

5 9 . Eaton Vance Inc. Fd A Dividend60. Tem pleton Global Bd Fd A Dividend

J

J

TT

Bu y 04/13/10 JBu y 04/13/10 J

61. State of Israel Bond A Interest62. Ford common A Dividend K

Redeemed 09115110 J

6 3 . Vislcon (Ford spinoft) A Dividend64. Citigroup (acq. Ford spinofl) A Dividend

JJ

T

T

65. Unicorn (form. Comm. Ed) A Dividend

6 6 . Warburg Pincus Growth A Dividend

6 7 .

J

J

TT

68. Trust** (lines 69-133) E Int./Div. Pl T

(See (ohunns (J and I)31

A : .$1 , 000 o r lessl -$15,0(tO or lessN $250,001 - SSO0 ,O0 0Q ~Appraisal

- ~ S 1 , 0 0 1 - $ 2 , 5 0 0= $ 1 0 0 , 0 0 1 - ~ ; 1 3 ) 0 0 , 0 0 0= $ I 5,001 - S50.000~$500,001 - $ 1,000,000,.Cost (Real Estate O n l y )

c : ~ $ 2 . 5 0 1 - $ 5 , 0 0 0L ~ - $ 5 0 , 0 0 1 - S 1 0 0 , 0 0 0P I ~S 1 , 0 0 0 , 0 0 1 . S5,000,000P 4 ":More thall S S D , O 0 0 , O 0 0S =Asscssmenl

H2 =More than S 5 , 0 0 0 , 0 0 0M~S 100,001 - 5250,000P2 =:SS,00I},00 t - $25,000,0LI0


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F I N AN C I A L D I S C L O S U R E R E P O R TP age 9 of 15N a m e o f P e r s o n R e p o r t in gPolster, Dan A.

Date of Report08/15/2011

VII. INVESTMENTS and TRUSTS - i. ..... ., ,,alue, t ..........ions (lnchtde.," those of sp ........d depct~denr children; seel~p. 34-60 of fillng i ............io.s.)N O N E (No reportable income, assets, or transactions.)

I)cscriptioh of Assets Income during( i n c ~ u d i a g t r u s t a s s e t s ) r e p o r t i n g p e r i o d

0) (2)ltacc "(X)" after each asset Amount Type (e.g.,

exempt from prior disclosnrc Code 1 div., rent.(A-H) or int.)

Gross value at end6f r e p o r t i n g p e r i o d(l) (2)Value Value

Code 2 Method(J-P) Code 3

( Q - W )

Transactions during reporting period(I) (2) (3) (4)

Type (e.g., Date Value Gainbuy, sell, mm/dd/yy Code 2 Code I

redemption) (J-P) (A-H)

(5 )Identity of

buyer/seller(if private

transaction)

69 . --State of Israel Bond

70. --Tenneco common

71. --PactivCorp7 2 . - - J P M o r g a n C h a s e

~ 3 . - - S p r i n t C o r p

74 . --M.Lynch Money Market

75. --U.S. GNM bonds7 6 . - - I s r a e l P r e f e r r e d

7 7 . --. Dev. Bank of Israel Pref.

78 . -- Amer.Fds New Persp Fd

79. --Amer Inc. Fd of Amer.80. --American Washington Mut F d8 1 . -- Oakmark Intl Fund

! 8 2 . --Baron Growth F d~ 8 - ~ . --Hartford Floating Rt Pdg4. --GNM Bonds

;85. --Georgia Power Co~

Sold 12/14/10

Sold 5/28/10(part)

Bu y 11/22/10(addl)Bu y 11/22/10

( a d d I )

Red eemed 091 2 7 1 1 0

,I

A

A

A

(See Columns I312. Value (!odes

(See (.01umI~ CI and D3)

(See Column (2)

N " : S 2 5 0 , ( 1 0 1 - $ 5 ( 1 0 , 0 0 0K = S 15,001 - S 5 0 . 0 0 0

0 = $ 5 0 0 , 0 0 1 - S I ,O 0 0 , O 0 0R ~,Cosl (Real Estate Only)

L ~$50.001 - S 100.000P I =~S 1,000,00 } - $5,000,000

D =$5,001 - S 15,0t)OH2 ~More thanM ~S 100.001 - $250.000P 2 = $ 5 , 0 0 0 , 0 0 1 - S 2 5 . ( ~ 1 0 , 1 1 0 0


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FINANCIAL DISCLOSURE REPORTPagell of 15


Date of Report0 8 / I 5 / 2 0 1 I

VII. I N V E S T M E N T S a n d T R U S T S - i ............ t , , e , r . . . . . . . . . ,ions (lnchtdes those of spo .....nd dependent children; seepp. 34-60 ,filing instr,ctionx.)[] NONE income, assets, transactions.)N o reportable orDescription of Assets Income during

(including tntst assets) reporting period(1) (2)

Place "(X)" after each asset Amount Type (e.g.,exempt from prior disclosure Code I div., rent,

(A-H) or int.)

C. [3.Gross value at end Transactions during reporting periodof r e p o r t i n g p e r i o dO) (2) (l ) (2) (3) O) ( 5 )

V a l u e V a lu e T y p e ( e . g ,, D a t e V a l u e G a i n I d e n t i t y o fC o d e 2 M e t h o d b u y , s e l l, m m / d d / y y C od e 2 C od e I b u y e r / s e l l e r

( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) (A-H) (if private( Q - W ) t r a n s a c t i o n )

103. --Bolt Technologies

1 0 4 . --Bolt Technologies

1 0 5 . - - C u l p I n c .

1 0 6 . --Durect Corp.

1 0 7 . --Durect Corp.

1 0 8 .

109. --Money Market (W achovii0I I0. --Laclcde Gas common

t 1 I . --Nuvcen Ohio Munic. Fd

I 1 2 . --Davis NY Ventu re Fd1 1 3 . --Eaton Vance Tax Managed G .r. Fd

(formerly E.V. Marath)1 1 4 . --Cedar Fair

1 1 5 . --American Express C o .1 1 6 . --Chevron/Texaco

t iT . --TO Energy (now Exxon M obil after2010 merger)

118. --Enterprise I~roducts119. --Franklin, Ohio Munic. Bond

Bu y 08/02/10

Bu y 09/13/10(addl )

Bu y 11/30/10

Bu y 05/24/!0

Bu y 09/08/10 (addl)

S o l d 1 1 / 1 0 1 1 0( p a r t )

K

KK

K

K

1. hacom e (Jain Uodcs: A ::S 1,000 or Ies,~ B =$1.001 - $2,500 C =S2,501 - S5.000 D =$ 5,001 - S I5,000(See Columns B I ;rod 04) F ~-550,001 - S 100.0O0 ( i = S 1 00 ,0 01 - $ 1,0 00 ,0 00 H I ~ $1 ,0 00 ,0 01 - S 5,0 00 ,0 00 H2 =M orc than

2. V alue Codes J :~S m 5,000 or less K =S 15 .001 - S50,~0 L =550.001 - S 10O,O00 M ~S I ~,001 - S250,000(See Column~ (1 :mtl 03) N :,S250,001 - S500,000 O =SS00,00I - SI,0(}0.000 PI ~SI ,000,001 - S5,000,000 P2 ~$5.000,~1 - $25.000.000

P 3 -~S2$,l)0O,i)lll - SSO,I)t)D,l)OO Pl ~-More than3. V;ilue Method (odes Q =Jpprai~tl R ,~Cosl (Real Estate Only) S . :Assessment T =Cash Market


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FINANCIAL DISCLOSURE REPORTPage 13 of]5

N a m e o f P e r s o n R e p o r t iu gPolster, Dan A.

|)ate of Reporl0811512011

N O N E (No reportable income, assets, or transactions.)Description of Assets Income during

(inclnding trust ~ssets) reporting period(t) (2)

Place "(X )" after each asset Affm unt T ype (e.g.,exempt l?om prior tfisclosurc Code I div.. rent,{A -H ) or int.}

Gross value at endo f r e p o r t i n g p e r i o d

(1) (2)Value Value

Code 2 Method( J - P ) C o d e 3( Q - W )

T y p e (e.g.,buy. sell.

r e d e m p t i o n . )

T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d

(2) (3) (4) (5 )D a t e V a l u c G a i n I d e n t i t y o f

mm/dd/yy Code 2 Code I buyer/seller(J-P) (A-H) (if priwac

trltnsacIion)

1 3 7 .

1 3 8 .

1 3 9 .

1 4 0 .

1 4 1 .

1 4 2 .

1 4 3 .

~ 4 4 .

( S e e ( o h t m , s B I ; r o d 1 ) 4 ) F " = : $ 5 0 . 0 0 1 - S 1 0 0 J ) 0 0 ( i : : : $ 1 0 0 . 0 0 1 - $ 1 . 0 0 0 . 0 0 0 } ! l = S 1 . 0 0 0 . 0 0 1 - $ 5 . 0 0 0 . ( } ~ H 2 = M o r e t h a n S S . 0 0 0 . ( ~ 02 V~flue Ctxk.s J : SI 5.000 or less K =Sl 5 .001 - SSO.000 L =SS 0.0Ol - Sl00.000 M =SI00.001 - $250.000

P 3 . $ 2 5 . 0 0 0 . 0 0 1 - S S O . 0 U O. 0 0 0 p 4 ~ - M o r e t l m { l S S O . 0 0 0 . O 0 03 V a l u e M e ~ h o d ( n d e ~ O : " A p p r a i s a l R = : C o s t ( R e a l E s t a t e O n l y ) S = A s s e s s m e n t T = C a s h M a r k e t


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Date of Re l ) o r l08 / I 5 / 201 I

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.Part VII (Investments and TrusLs), lines 51 and 52: These are 401(K) and IIR 10 accounts, maintained through~law firm. They areboth professionally managed by ABA Retirement Funds. detenafines an allocation among generic funds (e.g. bond, large-cap, small-cap).~has no know ledge or control of the selection of the specific funds themselves.


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FINANCIAL DISCLOSURE REPORTPage 15 of 15 [ame of P erson ReportingPolster, Dan A.

I X . C E R T I F I C A T I O N .

D a t e o f R e p o r i "

I certify that all information given abo ve (including information pertaining to m y spouse and m inor or dependent children, if any) isaccurate, true, and com plete to the best of my kn owledge and belief, and that any inform ation not reported was withheld because it met applicable statuloryprovisions permitting non-disclosure.

1 further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are incompliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

Signatur

N O TE : AN Y IN DIV IDUAL W H O K N O W IN G LY AN D W ILF ULLY F ALS IF IE S O R F AILS TO F ILE TH IS R E PO R T M AY B E S UB J E C T TO C IV ILAND CRIMINAL SANCTIONS (5 U .S.C. app . 104)

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

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Dan Aaron Polster Financial Disclosure Report for 2010