Robin J Cauthron Financial Disclosure Report for 2010

8/3/2019 Robin J Cauthron Financial Disclosure Report for 2010

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FINANCIAL D ISCLOSURE R EPORT

FOR CALENDAR YEAR 2010

Report Required by the Ethics

in Government Act of 1978(5 U.S.C. app. §§ 101-111)

1 . Person Repor ting ( las t name, f ir s t , middle init ial)

C A U T H R O N , R O B I N J .

4. T i t le (Art ic le 111 judges ind ica te ac t ive o r sen io r s ta tus;magis t ra te judges indicate fu l l - or p ar t - t ime)

U. S . D I STRI CT JUD G E (ACTI V E )

7 . C ha m be r s o r O f f ic e Ad d r e s s

4 0 0 1 U .S . C O U R T H O U S E2 0 0 N . W . 4 T H S T R E E TO K L A H O M A C I T Y , O K 7 3 1 0 2

2. Cour t o r O r ganiza t ion

W E S T E R N D I S T R I C T O F O K L A H O M A

5a . Report Type (check appropria te type )

] Nomina t ion , D a t e

[] Initial [] Annual [] Final

5b. [] Amended Report

8.On the basis o f the in fo rma tion con ta ined in th is Report and any

modif ica t ions pe rta in ing the re to , i t is , in my op in ion , in compliancewith appl i cable l aws and regula t ions ,

3. Date of Repor t

04/08/20 i 1

6. Report ing Pe riod

0 1 / 0 1 / 2 0 1 0

to

12/31/2010

R e v i e w i n g O f f i c e r Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followe~L Complete ali parts,

checking the NONE box for each part where you ha ve no reportable informatior~ Sign on last page.

I . P O S I T I O N S . (Reporting individual only; seepp. 9-13 of filing instructions.)

~ (No reportableposit ions.)ONE

1. Board of D i rec tors

2.

3.

4.

5.

P O S I T I O N NAME OF ORGANIZATION/ENTITY

Oklahoma Spec ia l Olympics

I I . A G R E E M E N T S . ( R e p o . i n g individual only; seepp. 14-16 of filing instructions.)

~] N O N E (No reportable agreements.)

DATE PARTIES AND TERMS



FINANCIAL DISCLOSURE REPORT

Page 2 of 8

N a m e o f P e r so n R e p o r t i n g

CAUTHRON, ROBIN J.

Date of Report

04/08/2011

I II . N O N - I N V E S T M E N T I N C O M E . (Reporting individualandspouse; seepp. 17-24 of filing instructions.)

A. Filer’s Non-lnvestment Incom e

~] (No reportable non-investment income.)ONE

DATE SOURCE AND TYPE

2.

3.

4.

INCOME(yours, not spouse’s)

B . S p o u s e ’s N o n - I n v e s tm e n t I n c o m e - if you were ma rried daring anyportion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

D (No reportable non-investment income.)O N E

DATE

1. 2010

2.

3.

4.

SOURCE AND TYPE

S e l f -e m p l o y e d l a w y e r

I V . R E I M B U R S E M E N T S -transportation, lodging, food, e n t e r t a i n m e n L

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

~-~ (No reportable reimbursemen ts.)O N E

3.

4.

5.

SOURCE DATES LOCATION PURPOSE

Okla. Ass’n of Defense 6/17-6/I 9 /2010 I rving , Texas PanelistCounse l

ITEMS PAID OR PROVIDED

Su m m e r M e e t i n g o f O A DC




Page 3 of 8


CAUTHRON, ROBIN J.

Date of Repor t

04/08/2011

V . G I F T S . a n c l u d e s , h o s e , o s , o u s e a n d d e p e n d e n t c l , i ld r e n ; s e e p S . 2 8 - 3 J of f!ling instructions.)

N O N E (No reportable gifts.)

SO U R C E D E SC R IP T IO N

1 .

2.

3.

4.

5.

V A L U E

V I . L I A B I L I T I E S . a n d a d e s t h o s e o l s ~ o a s e u n ~ d e p e n d e n t children; see p p . 3 2 - 3 3 of filing instructions.)

~ N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTION

1.

2.

3.

4.

5.

VALUE CODE




Page 4 of 8


CAUTHRON, ROBIN J.

Date of Report

04/ 08 / 2 011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , ,,ah, e, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)

---] N O N E (No reportable income, assets, or transactions.)

A. B. C.

Desc r ipt ion of Assets Incom e during G ross va lue at end(inc lud ing t rust a sse ts) reporting period of reporting period

(I ) (2 ) (I) (2)

Place "(X )" after each asse t A m ount Type (e.g ., V a lue V a lue

exempt f rom pr ior d isc losu re C o d e I div., rent, C o de 2 M ethod(A-H) o r i n t . ) (J-P) C o d e 3

( Q - W)

( 1 )T y p e ( e . g . ,

b u y , s e l l ,

r e d e m p t i o n )

Transactions during report ing period

(2) (3) (4)

D a t e Va l u e Gain

mm/dd /yy Code 2 Code I

( J - P ) (A-H)

(5 )

Identity of

buyer / se l l e r

(if private

transaction)

4.

5.

6.

Alleg iance Cred i t Union Oklahoma Ci ty , A I n t e r e s t KO K

Legg M as on P a r tne rs : Apprec i a t i on Fund

(mutua l fund)

J oh n Pow e l l , L td . Pa r t ne r s h i p T u l s a C ou n t y ,

OK r e a l e s t .

A D i v i d e n d

N o n e

J

K

T

R

W ins ton Oi l Co. 1981-1982 Ltd .Pa r t ne r ship , M a r i on , OH

D age Oi l Co. , L td . P a r tne rs h ip Ok lahoma

City, OK

M inera l i n t e re s t i n W ood s County , OK A

N o n e J W

N o n e J W

Ro ya l t y J W

S e e V I I I, E x p l a n a t i o n s

7. P ers uas ive S t ra t eg i e s , LLC A Interest K

8. B R O K E R A G E A C C O U N T # 1

1 0 .

11 .

1 2 .

1 3 .

1 4 .

1 5 .

1 6 .

1 7 .

- A m e r i c a n F u n d : A m e r i c a n B a l a n c e d F u n dC (m ut ua l fund )

A Dividend

- A m e r i c a n F u n d : C a p i t a l I n c o m e B u i l d e rF und (m ut ua l fund ) A Dividend

-Amer . Fund: Capi t a l W or ld G rowth &

I n c o m e F u n d C ( m u t f u n d )A Dividend

- I n c o m e F u n d o f A m e r i c a C ( m u t u a l f u n d ) A D i v i d e n d J

- C h e s a p e a ke E n e r g y C o r p ( c o m m o n s t o c k ) A D i v i d e n d J

- S u p e r i o r E n e r g y S e r v i c e s , In c . ( c o m m o n A D i v i d e n d Jstock)

-Janus Forty Fund A D iv idend J

T

T

- M a i n s t a y L g C a p G r o w t h F u n d A D i v i d e n d J

-Black rock E q D iv idend Fd A D i v i d e n d J

I . Inc ome Gain C odes : A =$1,000 or less B = $1,001 - $ 2.500 C = $2,501 - $ 5,000

( See C olu mns B I and D4 ) F =$50,OOI - $100.O00 G =$ 10 0,0 01 - $ 1,0 00 ,0 00 H I = $ I ,O O0 ,0 01 - $ 5,0 00 ,0 00

2. Valu e C odes J $ 15 . 000 o r l e s s K --$15.O 01 - $ 50.000 L -$ 50,001 - $ 100,000

( See C olu mns ( ’1 and D3) N = $ 25 0.001 - $500.000 O = $500.001 - $ 1 ,000.000 P I =$ 1.000,001 - $5 ,000,000

P3 =$25.000.001 - $50.000.000 P4 =More than $50,000,000

3 . Valu e Mc lh od ( ’odes Q = A p p r a i sa l R~ Uost (real [’:s tale Only) S =As s es s ment

( See C olu mn ( ’2) U ~13ook Value V Other W =Es t imated

D= $ 5.O O 1- $ 15 , 000

H2 - M or e th an $5 ,0 0 0 ,0 0 0

M=$100,O01- $250,000

P2 =$5,OO0,001- $ 25,000,000

T =C as h Mar k c t

E =$ 1 5 ,O0 1 - $5 0 .0 00




Page 5 of 8


CAUTHRON, ROBIN J.

Date of Report

04/08/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)

N O N E (No reportable income, assets, or transactions.)

D e s c r ip t io n o f A s s e ts T ra n s a c tio n s d u r in g r e p o r t in g p e r io d( i n c l u d i n g t r u s t a s s e t s )

In c o m e d ur in g G r o s s v a lu e a t e n dr e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

(l) (2 ) (1) (2) (l) (2) (3) (4) (5 )

Place "(X)" after each asset A m o u n t Type (e.g., Value Value Type (e.g., D a t e Value [ Gain Identity of

exempt from prior disclosure C o d e 1 d iv ., r e n t , C o d e 2 M e t h o d b u y , s e l l , mm/dd/yy Code 2 [ Code 1 b u y e r / s e l l e r( A - H ) o r i n t . ) (J-P) C o d e 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 )

18 . - S e li g m a n L g C a p Value Fd A Dividend J T

1 9. - A l g e r S m a l l C a p Growth Fd A Dividend J T

20. -TCW Small C a p Growth Fd A Dividend J T

21. -Perkins Small C ap Value A Dividend J T

22. - R o y c e Premier Fund A Dividend J T

23. -AIM D e v e l o p i n g Mkts Fd A Dividend J T

24. -LazardEmerging Markets A Dividend J T

25. -Henderson Int’lOpp Fund A Dividend J T

26. -Nuveen Trwds Int’l Val Fd A Dividend J T

27.

- T h o m b u r g l n t ’ lValue Fd

A Dividend J T

28. New York Life Ins. ( w h o l e l i f e ) A Interest K T

29. IRA ACCOUNT#1

30. -American Funds: Growth FundofAmerica A Dividend Sold 10/18/10 J A

(mu tua l fund)

31. -American Funds: Investment Co. of A Dividend Sold 10/18/10 K B

America ( m u t u a l f u n d )

32. -Lan g s to n Un ivers i ty b o n d s A Interest Matured 08/02/10 J A

33. -Oklahoma C i t y M u n i c i p a l B o n d s A Interest Matured 1 1 / 0 1 / 1 0 J A

34. -Ci t i g roup A Dividend Sold 02/19/10 J A

1. I n co m e Ga i n Co d es : A =$1,000 or less B = $1 ,001 - $2 .500 C = $ 2,5 01 - $5 ,000 D = $5,001 - $15 ,000

( See C olu mns B I and D4 ) F =$50.001 - $ 100,000 G =$ 1 00 ,00 1 - $ 1,0 00 ,0 00 H 1 = $1 ,0 00 ,0 01 - $ 5,0 00 ,0 00 H2 =More than $5,000,000

2, Valu e ( ’odes J - $ 15 ,000 o r le ss K = $15,001 - $ 50.000 L = $ 50,001 - $ 100,000 M = $ 100,001 - $ 250,000

(See Co lu m ns C I an d I)3 ) N :$250,001 - $5 00,000 O =$ 500,001 - $1.000,000 P I = $ 1,000,001 - $5 ,000,000 P2 -$5 ,000,001 - $ 25 ,000,000

P3 $25 ,000.1)01 - $ 50.000.000 P4 - Mor e th an $5 0 ,0 0 0 ,0 00

3 . Valu e Meth od C odes Q : ’Appraisal R =C os t ( R eal Es t a l e Only ) S =As s es s ment T = Ca sh Ma rke t

( See C olu mn (’2) U ~Bo o k Va l ue V =Oth er W =Es t imated

E =$15.001 - $50,000




Page 6 of 8


CAUTHRON, ROBIN J.

Date of Report

04/08/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i nc o , . e , value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)


35 .

36 .

37 .

38 .

39 .

40 .

41 .

42 .

43 .

44 .

A. B. C. D,

Desc r ipt ion of Assets Income during Gross va lue a t end Transac t ions dur ing repor t ing per iod

( inc lud ing t rust a sse ts) rep ortin g period o f reporting period

(1 ) (2 ) (1) (2) (I ) (2) (3) (4) (5 )

Place "(X)" after each asset A m o u n t Type (e.g., V a lue V a lue Type (e.g., D a t e V a l ue Gain Identity of

exempt f rom pr ior d isc losure C o d e I div., rent, C o de 2 Method buy, se l l , m m/ddd yy C o de 2 C ode 1 buyer/ se l le r(A-H) o r i n t . ) ( J - P ) C od e 3 redem ption) (J-P) (A-H) (if private

( Q - W ) transaction)

-Continental Resources Inc. (common stock )I A Dividend J

-Gener al Electric Co. (see Part VIII) A Dividend J

-Netflix (common) Bu y 10/18/10 K

Sold 12/17/10 K B

-China Green Agriculture (common) Bu y 12/21/10 J

-Microsoft (common)

-Walmart (common)

Bu y 12/03/10

Bu y 12/10/10

Bu y 12/17/10

J

J

JYongye International (common)

A Dividend

C I n t e r e s t

A I n t e r e s t

A Dividend

L

L

K

T

T

Stock Exchange Bank, W oodward, OK

BROKERAGE ACCT #2

J

J

J

J

A

I. I n co m e Ga i n Co d es :

( S ee Co l um n s 13 1 an d D4)

2. Valu e C odes

( See C olu mns C I and D3I

3. Val ue M et ho d Co d es

( See C olu mn C 2)

A =$1,000 or less

F =$ 50,001 - $ 100,000

J =$15,000 or less

N =$250.001 - $500.000

P 3= $25.000.001 - $50.000.000

O =Apprais:d

U= [look V~luc

B =$1.001 - $2,500

G =$100,001 - $ 1.000.000

K =$ 1 5 , 0 0 1 - $50.000

0 =$500,001 - $1.000,000

R ~ Cost (Real Estate Only)

V ~O t h e r

C =$2,501 - $5,000

H 1 = $ 1,000,001 - $5,000,000

L =$50.001 - $100,000

P I =$1,000,001 - $5,000,000

P4 M or e th an $5 0 ,0 0 0 ,0 0 0

S =As s es s ment

W =Es t imated

D = $5 ,0 0 1 - $1 5 ,0 0 0

H2 =M or e ~ an $5 ,0 0 0 ,0 0 0

M $ 100 ,001- $ 2 50 ,000

P2 = $5,000,001- $25,000,000

T =C as h Mar k c t

E = $1 5 ,0 0 1 - $5 0 ,0 0 0




Page 7 of 8


CAUTHRON, ROBIN J.

Date of R e p o r t

04/08/201 I

V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (lndicate part of report.)

PART VII. I n v e s tm e n t s a n d T r u s ts

Line 3 - John P owel l L imi t ed P a r tne rs h ip was pu rchas ed in 1973 for $2 6 , 000 .

Line 36 - I n p rev io ius yea rs , th i s it em has been inad ve r t en t ly l i s ted und e r Broke rag e Acco unt #2 , r a the r than I RA # !




Page 8 of 8

Name o f Pe rson Report ing

CAUTHRON, ROBIN J.

Da t e o f R e p o r t

04/08/2011

IX. CERTIFICATION.

1 c e r t i fy t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , if a n y ) i sa c c u r a t e , tr u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e ld b e c a u s e i t m e t a p p l i c a b l e s t a t u t o r y

p r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .

I f u r th e r c e r t i fy t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e ~ v i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . § 5 0 1 e t . s e q . , 5 U . S . C . § 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signature: S/ROBIN J. CAUTHRON

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L Y A N D W I L FU L L Y F A L S I F IE S O R F A I L S T O F I LE T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R 1 M I N A L S A N C T I O N S ( 5 U . S .C . a p p . § 1 0 4 )

Committee on Financial Disclosure

Administrative Office of the United States Courts

Suite 2-301

One Columbus Circle, N.E.

Washington, D.C. 20544



A O 1 0ReV. 1/2011 I


FOR CALENDAR YEAR 20 10

Report Required by the Ethics

in Government A ct of 1978(5 U.S .C. app. .~L~ 101-111)

1. Person Reporting (last name, first , middle init ial)

CA U T H RO N , RO BIN J .

4. Title (Article 111 judg es indicate active or sen ior status;

magistrate judges indicate full- or part-time)

U. S. DISTRICT JUDGE (ACTIVE)

7. Chambers o r Office Address

4001 U.S. COURTHOUSE2 0 0 N.W . 4 TH STREET

OKLAHOMA CITY, OK 731 0 2

2. Cour t or Organiza t ion

W E S T E R N D I S T R I CT O F OK L A H O M A

3. Date of Report

08/15/2011

5a. Repor t Type (check appropr ia te type)

] Nom ination , Date

[] Initial [] Annual [] Final

5b. [] Amended Report

8 . On the basis of the informat ion contained in th is Repor t and anymodi f i ca t ions per t a ining there to , i t i s , i n my opinion, in com pl iancew i t h app l i c ab l e l aw s and r egu l a t ions .

6. Repor t ing Per iod

01/01/2010

to

12/31/2010

Reviewing Off icer Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. Complete all parts,

checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . m e r o n i n g i n d i v i a , u l o n t y ; s e , r p . 9 - 1 3 of filing instructions.)

D (No reportableposit ions.)ON E

POSITION

1 . Boar d o f D i r ec to r s

2.

3.

4.

5.

NAM E OF ORG ANIZATION/ENTITY

O k l a h o m a S p e c i a l O l y m p i c s

II. AGREEMENTS. ~ R e p o , , i n # individual only; seepp. 14-16 of filing instructions.)

~] (No reportable agreements. )ONE

DATE PARTIES AND TERMS




Page 2 of 8

Name of Person Repor t ing

CAUTHRON, ROBIN J.

Date of Report

08/I 5/201 I

I I I . N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; see pp. 17-24 of filing instructions.)

A. Filer’s N on- Inv es t m en t I nc om e

~] NONE (No reportable non-investment income.)

D ATE SOUR CE AND TY P E

2.

3.

4.

INCOME(y o u r s , n o t sp o u se ’ s )

B . S p o u s e ’ s N o n - I n v e s tm e n t I n c o m e - if you were married during anyportion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

~] N O N E (No reportable non-investment income.)

DATE

I. 2010

2.

3.

4.

SOURCE AND TYPE

Sel f -employed lawyer

I V . R E I M B U R S E M E N T S - transportation, Iodglng, food, entertainmenL

(Includes those to spouse and dependent children," se e pp. 25 -27 o/filing instructions.)

D (No reportable reimbursements.)ON E

3.

4.

5.

SOURCE DATES LOCATION PURPOSE

O k l a . A ss’ n o f D e fe n se 6/17-6 /19/2010 I rv ing, Texas P ane l i s t

C o u n se l

ITEMS PAID OR PROVIDED

Summ er Meet ing of OADC




Page 3 of 8

N a m e o f P e r s o n R e p o r t i n g

CAUTHRON, ROBIN J.

Date of Report

08/1512011

V . G I F T S . a n e l u d e s those to spouse and dependent children; seepp. 28-31 of filing instructions.)

N O N E (No reportable gifts.)

SOURCE DESCRIPTION

1.

2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . a n a u d e s t h o s e o / sp o u s e u n d d e p e n d e n t children; see pp. 3 2 - 3 3 of filing instruction&)

N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION

1 .

2.

3.

4.

5.

VALUECODE




Page 4 of 8


CAUTHRON, ROBIN J.

Date of Report

08/I 5/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of f i l ing instructions.)


A. B. C. D.

D escription of Assets Incom e during Gross value at end Transactions during reporting period

(inc lud ing tru st asse ts) reporting period of reporting period

0) (2 ) (t) (2) O) (2) O) (4) (~ )

Place "(X )" after each asset Am ount T y p e ( e . g ., V alu e V a lu e Type (e.g., Date V al ue Gain Identity of

exempt from prior disclosure Code 1 div., rent, Code 2 Method b u y, se ll, m m/dd/yy Code 2 Code 1 buyer /sel ler(A-H) o r i n t . ) (J-P) Code 3 redem ption) (J-P) (A-H) (if private

( Q - W ) transaction)

2.

3.

4.

5.

6.

Allegiance Credi t Union Oklahoma Ci ty , A Interes t K TOK

Legg M ason Par tner s : Appr ec ia tion Fu nd( m u t u a l f u n d )

John Powel l , L td . Par tner sh ip Tu lsa Cou n ty ,

OK real est.

A Dividend J T

None K R

W ins ton Oi l Co . 1 981 -1 982 Ltd .Partnership, Marion, OH

D age Oi l Co . , Ltd . Par tner sh ip OklahomaCity, OK

Miner a l in ter es t in W oods Cou n ty , OK A

None J W

None J W

Royalty J W

S e e VIII , Explana t ions

7. Persuas ive S t ra teg ie s , LLC A Interest K T

8. BROKERAG E ACCOUNT# 1

1 2 .

1 3 .

1 5 .

1 6 .

1 7 .

-American Fund: American Balanced FundC (mutual fund)

A Dividend J T

-Amer ican Fund: Capi ta l Income Bui lde rFu nd ( mu tu al f u nd)

A D iv idend J T

-Amer . Fu nd : Cap i ta l W or ld G r owth &

Income Fu nd C ( mu t f u nd)A D iv idend J T

- Income Fund of Amer ica C (mutua l fund) A D iv idend J T

- C h e s a p e ak e E n e r g y C o r p ( c o m m o n s t o c k ) A D iv idend J T

-Supe r ior Ene rgy Se rv ices , Inc. ( common A D iv idend J Ts tock)

-Janus Forty Fund A D iv idend J T

-Mains t ay Lg Cap Growth Fund A D iv idend J T

-Blackrock Eq Div idend Fd A D iv idend J T

I. In co m e G ain C0d c s: A = $1 ,000 or less B = $1 .001 - $2 ,500 C = $ 2,501 - $ 5,000 D = $5,001 - $15,000

(S ee C ol um ns B I and D 4 ) F =$ 50,001 - $100,000 G =$ 100,001 - $1 ,000,000 HI = $1 ,000,001 - $5,000,000 H2 = M ore than $5,000,000

2. V a lu e Co d es J -$ 1 5,000 o r les s K~ $15.001 - $50,000 L =$50,001 - $100,000 M =$100,001 - $250,000

(See Co lu mn s CI an d D3) N ~$250,001 - $500,000 O = $50 0.0 01 - $ 1, 00 0,0 00 P I = $1 ,0 00 ,0 01 - $ 5,0 00 ,0 00 P2 =$5,000,001 - $25,000,000

P3 =$25.000.001 - $50,000,000 P4 =More than $50,000,000

3 , Va lu e Mc lho d ( ’o d es Q - Ap p ra isa l R ~ Cost (Real Estate Only) S = Assessmen t T = Cash Mark e t

(See Column C2) U =Book Value V : Other W =Estimated

E =$15.001 - $50,000




Page 5 of 8

N a m e o f P e r s o n R e p o r t in g

CAUTHRON, ROBIN J.

Date of Report

08/I 5/2011

V I I . I N V E S T M E N T S a n d T R U S T S -income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of fillng instructions.)

[~ 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) r e p o r t i n g p e r i o d

(l) (2)

Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure C o d e 1 div., rent,

( A - H ) or in t . )

1 8 . -Seligman Lg Cap Value Fd A Dividend

1 9 . -Alger Small Cap G rowt h Fd A Dividend

20 . -TCW Small Cap Growth Fd A Dividend

21 . -Perkins Small Cap Value A Dividend

22 . -Royce Premier Fund A Dividend

23. -AIM Developing Mk ts Fd A Dividend

24 . -Lazard Emerging Mark ets A Dividend

25 . - Hender s on In t’ l Opp Fund A Dividend

2 6 . -NuveenTrwds Int ’ l V a l F d A Dividend

27 . -Thomburg Int’l Value Fd A Dividend

28 . N e w York Life Ins. (w hole life) A Interes t

2 9. IR AA CC OU NT # 1

30. -Amer ican Funds: Growth Fund of Amer ica A Dividend(mutual fund)

31. -Amer ican Funds: Inves tment Co. of A DividendAmerica (mutual fund)

32. - Langs ton U niver si ty b onds A I n t e r e s t

33. -Oklahoma City M unicipal Bonds A I n t e r e s t

34. - C i t i g r o u p A Dividend

Gross value at end

o f r e p o r t i n g p e r i o d

(1) (2)

V a lu e V a lu e

C o d e 2 M e t h o d

(J-P) C o d e 3

( Q - W )

J T

J T

J T

~ T

J T

~ T

~ T

K T

Transac t ions du r ing repor t ing pe r iod

(l) (2) (3)Type (e.g., D a t e Value

b u y , s e l l , mm/dd/yy C o d e 2

redem ption) (J-P)

S o l d l 0/18/10 J A

S o l d 10/18/I0 K B

M a t u r e d 08/02/10 J A

M a t u r e d I 1/01/10 J A

S o l d 02/19/10 J A

( 4 ) ( 5 )G a i n Identity of

C o d e 1 b u y e r / s e l l e r

(A-H) (if private

t r ansac t ion)

I. Income Gain C0dcs: A =$1,000 or less B =$1,001 - $2,500 C = $2,501 - $ 5,000 D = $5,001 - $ 15,000

(S ee C ol um ns B I and D 4 ) F =$50,001 - $100,000 G =$100,001 - $1 ,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15.0(10 or less K =$15.001 - $50,000 L =$50,001 - $100,000 M -$100.001 - $250,000

(S ee C ol um ns C I and D3) N =$251),001 - $500,000 O = $50 0.0 01 - $ 1.0 00 ,0 00 P I = $1 ,0 00 ,0 01 - $ 5,0 00 ,0 00 P2 =$5,000,001 - $25,000,000

P3 =$25.000,001 - $50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q =Appr a i sa l R =Cost (Real Estate Only) S =Assessment T = Cash Mark e t

(See Co lu mn C2) U=

Book Value V =O t h e r W = Es t ima ted

E =$15,001 - $50.000




Page 6 of 8


CAUTHRON, ROBIN J.

Dale of Report

08/15/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i . c o m e , v a l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)

D NONE(No reportabl e income , a sse t s, or t ransact ions . )

A. B. C,

D e sc r ip tio n o f A ss e ts In c o m e d u r in g G r o s s value at end

( iachding trust a s s e t s ) r e p o r t in g p e r i o d o f r e p o r t i n g p e r i o d

(t) (2) ( 1 ) ( 2 )

P l a c e " ( X ) " a l ~ e r e a c h a s s e t A m o u n t T y p e ( e . g ., V a l u e V a l u e

e x e m p t f ro m p r i o r d i s c l o s u r e C o d e I d i v . , r e n t , C o d e 2 M e th o d( A - H ) o r int.) ( J - P ) C o d e 3

( Q - W )

-Continental Resources Inc. (common stock) A Dividend J5.

36 .

37 .

38 .

39 .

40 .

41 .

42 .

43 .

44 .

Transactions during reporting period

-General Electric Co. (see Part V III) A Dividend J

-Netflix (common)

(I ) (2) (3)

T y p e ( e . g . , D a t e Value

b u y , s e l l , m m /d d / y y C o d e 2

r e d e m p t i o n ) ( J - P )

Buy 10/18/10 K

-China Green Agriculture (common) N o n e J

Sold 12/17/10 K

-M icrosoft (common)

-W almart (common)

-Yongye International (common)

Stock Exchange Bank, Woodward, OK

BROKER.AGE ACCT #2

A

None J

None J

None J

I n t e r e s t K

T

T

T

T

Bu y 12/21/10 J

J

J

J

Bu y 12/03/10

Bu y 12/10/10

Bu y 1 2 /1 7/1 0

(4 ) (5)

G a i n I d e n t i t y o f

C o d e 1 buyer /sel ler

(A-H) ( i f p r i v a t e

t r a n s a c t i o n )

45 . -Berkshire Hathaway A

46 . -Langs ton Univer s iy bo nds

47 . -Oklahoma City M unicipal Bonds

48 . -SandridgeEnergy Co. (common)

4 9. - M i cr os oft (c om m on )

5 0. - W alm ar t ( com mon )

A Dividend

C I n t e r e s t

A I n t e r e s t

A Dividend

None

None

L

L

K

J

J

T

T

Matured 11/01/I0 J

T Buy 08/11/10 J

(add’l)

T Buy 12/03/10 J

T Buy 12/10/10 J

I. Income Gain Codes:

(See Columns B I and D4 )

2.Value Codes

(See Columns C I and D3 )

3.Value Method Codes

(See Column C 2 )

A=$1.000 or less

F :$50.001 - $100.000

J :$15.000 or less

N =$250.001 - $500,000

P3 -$25.000.01) I - $ 5 0 . 0 1 ) 0 . 0 0 0

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 (Real Estate Onlyl

V = O t h e r

C =$2.501 - $5,000

H I =$1.000.001 - $5,000.000

L =$50,001 - $100.000

P I = $ 1.000,001 - $5.000,000

P4 =More than $50.000,000

S = Assessmen t

W =Estimated

D = $5,001 - $15,000

H 2 -More ’than $5,000,000

M =$100.001 - $250,000

P2 =$5,000.001 - $25,000.000

T =C ash M a r k et

E =$15.001- $50.000




Page 7 of 8


CAUTHRON, ROBIN J.

Date of Report

08/I 5/2011

VIII. ADDITIONAL INFORM ATION OR EX PLANATIONS. (lndicate part of report.)

PART VIi. Inves tments and Trus ts

L ine 3 - John Powel l L imi ted Pa r tne r sh ip was purchased in 1973 for $26,000.

L ine 36 - In prev io ius yea r s , th is i tem has been inadv e r ten t ly l i s ted unde r Broke rage Account #2 , r a the r than IRA #1




Page 8 of 8

Name of Person Repor t ing

CAUTHRON, ROBIN J.

Date of Repor t

0 8/ I 5/2011

IX . CERTIFICATION.

1 c e r t i f y t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a in i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i sa c c u r a t e , t ru e , a n d c o m p l e t e t o t h e b e s t o f m y k n o wl e d g e a n d b e l i e f, a n d t h a t a n y i n f o r m a t io n n o t r e p o r t e d wa s ~ v i t h h e l d b e c a u s e i t m e t a p p l ic a b l e s t a t u to r y

p rovi s ions permi t t i ng non -d i sc losure .

I f u r th e r c e r t i f y th a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s wh i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . § 5 0 1 e t . s e q ., 5 U . S . C . § 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signature: S/ROBIN J . CAUTHRON

N O T E : A N Y IN D IV ID U A L W H O K N O W IN G L Y A N D W IL F U L L Y F A L S IF IE S O R F A IL S T O F IL E T H IS R E P O R T M A Y B E S U B J E C T T O C IV ILAND CR IMINAL SANCTIONS ( 5 U.S.Co app . § 1 0 4 )

Committee on Financial Disclosure

Administrative Office of the United States Courts

Suite 2-301

One Columbus Circle, N.E.

Washington, D.C. 20544

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Robin J Cauthron Financial Disclosure Report for 2010