Stephen N Limbaugh Financial Disclosure Report for 2009

8/3/2019 Stephen N Limbaugh Financial Disclosure Report for 2009

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[ AoT0 : : I FINANCIAL DISCLOSURE REPORT R ~ p o r , R e q . i r ~ a b y l ~ e ~ t h i c ~i n Go v e r n me n t Ac t o f 1 9 7 8i~ev: i/20tO.] FOR CALENDAR YEAR 2009 (5 u.s.c a p p . l O 1 - I l l )

I . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r s t , m i d d l e i n i t i a l ) 2 . C o u r t o r O r g a n i z a t io n 3 . D a t e o f R e p o r tLimbaugh, J r. , Stephen N. Eastern Distr ict of M issouri 0 5 / 1 4 1 2 0 1 0

4 . T it l e (A r t i c le 1I I ju dg es io d ic a t e ac t i v e o r se ni o r s t a r e s ; 5 a. R ep or t T y p e (c h ec k ap pr o pr i a t e ty pe ) 6 . R e p o r t i n g P e r i o dm a g i s t r a te j u d g e s i n d i c a t e f u l l - o r p a r t - tk n e ) [ ] Nom ina t i on . [ ) a l e 0 1 1 0 1 / 2 0 0 9Distr ic t Judg e [] initial []A .... 1 []Final tO1 2 / 3 1 / 2 0 0 95b . [ ~ Amen ded R e p o r ~7 . C h a m b e r s o r O f f ic e A d d r e s s 8 . O n t h e b ~ s i s o f t h e i n f o r m a t i o n c o n t a i n e d i n t h i s R e p o r t ~ n d n n ym o d i f i c a t i o n s p e r t a i n i n g t h e r e t o , it is, i n m y o p i n i o n , i n compl ianceRush Hudson Limbaugh St. U. S. Courthouse w i t h applicable l aws and regulations.555 Independence St., Suite 4000Cape G i ra rdeau , M O 63703 Reviewing ()filter ........ D a t e

I MPORTA N T NO TES: The ins t r uc t ions accom pat~r , ing th iz for m m ust be fo l lowed. Com pl e te all par ts,checking the NONE box for each part where you have no repor table in formation. Sign on lastpage.

I . P O S I T I O N S . m ~ , o . ~ . g indiv idual on ly; see pp. 9 -23 of f i l i t*g i . . . . . .. . i o n s . )~ NONE (No reportable positions.)

POSITRON NAME OF QRGANIZATIONiENTITY1. Truslee and first vice p re siden t Sta te H isto rical Soc iety of M issouri2. Director Rainbow NeP~,ork, Springfie ld , MO3. Director Southeas t M issour i Symphony Advi so r? Boa rd

I t. A G R E E M E N T S . (~.~.,,~i,,. .,.i,,ia,,.~ ,,.l~,; ...p~. 14-16 of f!ling i ......ons.)~ NONE (N~ reportable agreements.)DATE p~.TIES AND TERMS

1.


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FINANCIAL DISCLOSURE REPOR T n .... f P e r s o n R e p o r t i n g ! Da,e of Repor~Page 2 of 10 Limbaugh, Jr., Stephen N,

.05/14/2010

A. Filers Non-Inves tmen t Incom eNONE ~Vo reportable non-investment income.)

DATE SOURCE A~ TS~E mCOM~(yours, no~ spouses)1.2~9 M [sso~ S~te Emp loyees Ref ir emem Sys tem, p en s ion $70,96Z882.3 .4 .

B. Spouses Non-lnvestment Income - l f y o u we re m a rr i e d d u r i n g a n y p o r t i o n o f t h e re p o r t i n g y e a r . c o m p le t e t h is s e c t i o r~

~ (~0 reportable non-investment income.)ONEDATE SOURCE AND TYPE

I. 2009 ~,ret ls Fargo Advisors, sa lary, and bon uses2.3 .

4 .

IV . REIM BURSEM ENTS ..... z . . . . . . i o , , , ~ o , ~ i ~ g , y o o d , . . . .. . . . i . . . . . . .( [ n I ~ ~~ t / o ~e" t ~ s p o u s e a r i d d ep e . d e r t ch i l d ~e t ~; s ~: e p ;) . 25-27 o f f i l i n g i , ~ . sw u c t i o n s )

[~ NONE ~ro ,x~ortable reimbursements.)~ ~ LOCATION PU~QSE ITEMS PAID_~~

1.23 ,4 .5.


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FINANCIAL DISCLOSURE REPORT [ Name of P .... R e p o r t i n g D a t e o f R e p o r tPage 3 of 10 I Limbaugh, Jr., Stephen N. 05/14/2010

[~ NONE (No reportable gifts.)~OURCE DESCRIPTION V A L _ I . I . ~

I.

V I . L I A B I L I T IE S . a~c~,a,,,~o,, o~,.~ ....... ~ d e p e n d . . . . ..hi ldre , , ; see pp. 32-33 of f i l ing in, tructions.)[~ NONE (No reportable liabilities.)

CREDITOR ~_CR1PIION ~I. Montgom ery Bank o f Cape G i ra rdeau , l ine of credi t loan KM O2. American Express cedit card K3. CitiCards credi t c~d j4. Nieman M arcus credit card j5. Wachovia Securi t ies promissory note K


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FINANCIAL DISCLOSURE REPORT N .... fPers~n Report ing Dale o f ReportPage 4 o f 10 L i m b a u g h , J r ., S t ep h e n N . 0 . 5 / 1 4 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - ~ , , o ~ . e , ~ , , . ~ . . . . . . i o , . ~ ( In c l udes tho s e o f s p ..... d depen den t ch i l dren ; s eepp . 34 -6 0 o f f i l in g in s truc t io r~ .)NONE 6Vo reportable income, assets, or ~ansactions.)

I D e s c ti p f o n o f A s s c ~ s I n c o m e d u 6 n g G r o s s v a l ue a t e n d T r a n s a c t i o n s d u f n g r e p o r t i n g p c 6 o d( i n c l u d i n ~ t ~ s l a s s e t s ) r e p o s i n g p e r i o d o f r e p o s i n g p e r i o d

] C~e I d iv

.................................................... ~ ................................................ ~_ ~ ........ L .......[ 1 Wach ovia Securitieg IRA - S N I . . - !2. -A GE Ban k D epo s i t P r on . (mo ney ma r k e t ) A I n t e r e s t J T3 . -U.S T~easurv Zero Coupon B onds A Interest Sok! 05/22i09 J4 . - ,~ngen, lnc None Sold 06/29/095 -Canadian Natugnl Resources, Ltd. A Dividend Sold 06/29/09 J6 . CAT A Div idend B uy 01/22/097 . Sold 06/29/09 J~ -Wah Disney Co. A Dividend Sold 06~9/09 J A9 . -State Street Co~. A Dividend Sold 1 2 / 3 1 J B

10 . -Suncor Energy. Inc. A Dividend Sold 06~29/09 J] 1. -Capita l World Grow th & Incon~e Fund A Dividend Sold 0 5 1 2 2 / 0 9 K B12 . -Enro Pac if ic Grow th Fund A Dividend Sold 0 5 / 2 2 1 0 9 J A

1 3 . -Investment c~. of America A Dividend Sold 05/2L"09 L1 4 . -Smat l c ap Wold Fund Inc . None So!d 05/22/0915 . -Gilead Sciences. Inc.(see no~e 2. part V1H) None Sold 06/29/09 J C1 6 . -McDonalds Corp. A Dividend Sold 06~9/09 J17 . -lsharesln~s~ S&P 500 Index Fnnd Sold


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FINANCIAL DISCLOSURE REPOR T ~ .... fP . . . . . R e p o r t i n g D a t e o [ R e p o r tPage 5 of 10 Limbau gh, Jr., Stephen N. 05/14/20t0

V I I . I N V E S T M E N T S a n d T R U S T S - ~ ........ i,,, . . .. . . p u n s ( I n c l u d e s t h o s e of sp ...... d dependent children; see pp. 34-60of filing instructions.)N O N E ( T q o reportable income, assets, or transactions.)

Descdp ion of As~ ~. Income d~ng Gros s va tue a t end T~nsac t ons dud ~g re[ on ng per iod(including t~ ..... ts ) [ r e po . i ng pe fo d of repomng pefod ....

~i~ ........ ~2~ ........~) ~4) ....... (~) ......Place"(X)" aft ....h .... {~ ..... Type (e .g . . Va l ue [ Value Ty~ (e.g., Dale Value [ Gabl I Ide r, t i~ of~A-H) or ink) (J-P) ~ Code 3 edempt ion) , (J-P) (A-H) . ( i fpdva l eIg. Growth Fund of America A Div id e n d So ld 05/22109 ] L

t9. New World F~d None Sold 05/2Z/09 J20 . -Ishar~ Trust EmerNng Market~ index A Div ide nd Sold 06/29109 K

Fund21 . -[shares Tms~ R~ssetl Midcap Index Fund A Div ide nd So ld 06~9/09 K22 . -Ishares Trust Russell 2000 Index Fund [" A Div ide nd Sold 0B ,Qg! 09 K23 . F~dso~ce-Conse~, Growth (see note) D Div i dend O T B u y 07/02/09 Nmanaged account)24 . Wachovia Securities BrokerageAccost25 , -AXP A Div ide nd So ld 02/20 /0 9 J [" C26 . - .@alp A Div ide nd Sold 02/20/09 J B27 . -,~G~ N o n e J T28 . -ESRX N o n ~ K T B u y 01/13z09 J29 . -G E Sold 02i20/09 J C3 0. -JNJ A Di~ddend J T B uy 0122/0 9 J31." -M~S N o n e J T3 2. -M~ A Dividend ~ T33 . -P G A Dividend J T

34 . -Common slock (fo~erly AGE, now WFC) A Div ide nd J T Distr ibu ted [05/21/09 ~

1, | r . com~: G~in Codes : A =$1J)0(J or Less B ~$1,001 - $2,500 C =,$2,501 - $5,000 D -$5,00[ - $I 5,000 E =$15,901 - $ 50,1~00


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FINANCIAL DISCLOSURE REPO RT I n .... rP .... ~ . ~ p o ~ t i , , t :P age 6 o f 10 ~ L i m b a u g h , f lr . , S t e p h e n N . 05!14/2010~I. ~EST~NTS and TRUSTS -~..o ...... ~, t ra~ac aons a~c t ud~t hose o f ~ . . . . . a d e ~ e n a e n t c m t Z r e n ; seepp.

NONE (No reportable income, assets, or transactions.)

Des~iption o f Assea I I n c o m e d u r i n g G r o s s v a u e a t e n d Tmnsac oos d~ng re~aing(including ~st ~seL~) [ r e p o a i n g p e r i o d of report ing p ~ o dP l a c e " ( X ) " a f t e r e a c h ~ s e t ! A m o u n t T y p e ( e g . V a l u ~ V a l u e [ T y p e ( c . g , [ Date { Value ] Gain de, i~ ofe x e m p t f r o m p r i o r d i s c l o s u r e [ C o d e l d i v . , r e n t , C~e 2 M e th o d [ buy se l l , mt~dd.~ C~e 2 Code ! b u y e r I s e l l e ~

} ( A - H ) o r i n t . ) ( I - P ) C~e3 ~ r e d e m p t i o n ) [ ( J - P ) ~ ( A - H ) ( fpfvate

3 5 . -CAT Buy36. -MCD A Dividend J T Buy ~ 0 8 / 1 0 / 0 9 J...... A Di~sdend J Y Buy 01/13/09 J3 8 . -~TC Sold 01/02/09 J A3 9 . Sold 0~20/09 J4 0 . ~AGE Bat~ Dep. Prog. (now We lls F~go) A ~ter~t J T -41 . Bank of Am erica Checking Account 7: (~I A Interest J T

4 3 . -L.T. Grow th Fur~d Source-Core Am. (see B Dividend M Tnote 3, p a~ VII!)- ,,4 4 . A. ~. Edw~ds 401K Plan~I "

4 5 . -American Funds-E~oPacific Growth Fund C Dividend M T4 6 . -~e ri can Funds - t nve s tmcn tCo. Amer i ca D Dividend N T B uy 0 3 / 1 3 i 0 9 147. .... ~ 2~16/09 M4 8 . -American Funds-Sm~dl Cap World Fund A Dividend M T Buy 12D6/09 L4 9 . -American Funds-Washington Mutual B Dividend K5 0 . -American Fun~-Growth Fund America B Dividend M [ T5 I. V~guard P~me M oney Marke t C Dividend O T Buy 1 / 2 0 0 9 J


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FINANCIAL DISCLOSURE REPORT N ~ m e o f P e r s o n R e p o r t in g D a t e o f R e p o r tPage 7 of 10 Limbaugh, Jr., Stephen N. 05/14/2010

V I I . I N V E S T M E N T S a n d T R U S T S - i. ....... i~., tr .... tion~ (hacludes those of sp ....... d dependent children; see pp. 34-60 of filing instructions,)[] NON 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 --~- ...... ~ ....... G r o s s v a l u e a t e n d T~s~fions during reposing pcfiod(iacludiog trust ~se~) _ _ ~ain~ pe~__ o ~ r e p o r t i n g p e ~ o d

~ (A-m Iorim.) O - P ) ~ Code3, edempt i on l (QW) I {JP)--1 (A-tl) , {ifpfi ....} " I / t r m a s a c t i o n )

5 2 . Buy 03/!3/095 3 . Buy 12/t6/09 M5 4 . -&ne~can Fonds -New W or ld Fund B Dividend L T5 5 . -Wel ls Fargo St~k (U Wac hovia Stock) A Dividend K T5 6 . Me t Life Group Variable Universal Closed 01/01/09 JL i f e .5 7 . Wachov ia Sav ings

" ~ 8 . -?maerican Funds EuroPacif ic Growth Buy 3/2009 J5 9 . Sold 3/2009 K6 0 . -WFC stock non-ESOP A Dividend J T Buy 3/2009 J6 1 . " So!d 3/2009 J6 2 . -Stable Fund A Dividend K T B uy 3/2009 K6 3 . B uy 6/2009 J64 . B uy 9/2009 .16 5 , Excess Profi t Sharing Deterred Comp.P l a n

6 6 , -Stable Fund B Dividend Sokt 12/2009 M~ 7 . -Cert. of Deposit!!2 mos. A Dividend ! M T Buy 12~009 M I6 8 . Vcl . Def. Pedbrmancc Axvard Plan


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N a m e o 1 [ P e r s on R e p o r ~ n g D a t e o f R e p o r ~FINANCIAL DISCLOSURE REPORTP ag e 8 o f 1 0

NONE (5~ reportable income, assets, or transactions.)

D e s c r i p t i o n o f A . . . .. } I ...... da~g [ G ..... l u e a t end ~ T ..... 6 o n s d ~ i n g r e p o s i n g p e r i o d(including ~sr ~sets) [ r e p o r t in g p e G odPtace"(X)"aft ..... h+sc t /A ..... tI ++(e.g., / Value I Va l u e T y p e ( e . g . , [ Date +Value p Gain ldeatityofe~emptfromp~ordisclos~e ~Code l / d i v . , ~n% /Code2 ~ M e th o d b u y , s e l l , [m~dd~~Code2 ICc~e t b u y e r / s e l l e r] lb . -H) ~ o r i ra . ) ] (J-P) t Code 3 r e d e m p t i o n ) I (J-P) ~ (A-H~ ( i f p r i v a t e

j , ( Q -W ) I t r ~ g a c t i o n )6 9 . -StaMe Fund B Dividend ~u y 6/2009 K7 0 . Sold 1 2 / 2 0 0 9 L7 1 . -Cert. of Deposit-12 mos. A Dividend L T B uy !2/2009 L7 2 . -We l l s Ea tgoComm on Stock A Dividend 05/21/097 3 . -Wacho via Stock Options (Now ~TC) None J T7 4 . Wells Fargo Sec . Acct, ~ , ]7 5 . AEP~X A Dividend J T7 6 . AGTHX A Dividend J T7 7 . AtVSX A Dividend 1 T7 8 . NEWFX A Dividend J T7 9 . S M CWX A Dividend J T8 0 /7 ln t i a River Be d b v 4 see None M Qnote 8.pma Vl l l )

8 t . L imb au~9, par~ VIII)

(See C(~lumos B I and D,I ~ F ~-$ 50 ,00 1 - S 10 0,0 90 G =$ l ~),00 1 - $ 1,000 ,000 H [ =$1.000 ,001 - $5,000 ,000 H2 ~More th~n $ 5.D00,000 /

P .~ . $ 5 00~000 l $50 0 00 t 300 = p4 , M o ~ e t h an $5 0 . ~ t ,0 0 0 . . {


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N a m e o f P e r s o n R e p o r ~ in g D a t e o t R e p o r tFINANCIAL DISCLOSURE REPORT[ L imbaugh , J r . , S tephen N. 05/14/2010age 9 o f 10

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

I. Part VIl- line 9:Sold 12131/08 b~.lt paid d vidcnd January. 2009)

2, Part acqI - line 23:Man aged Account- converted IRA account to managed accoun t.

3. Part VII - line 34:Deposited to account from DRIP restric ted stock aw ard 2008.

4. Part VII - line 46 and

5. Part VII - line 51:JanuaI2 through December 2009, m o ~t y buys, sam e amoun t ; i l l under the .I category

6. Part VII - lines 58 throu gh 64, 67, 69Only quarterly sta tements are prov ided, no ac tual dates available .7. Part VII - line 7 2:De po si t to a cc ou nt - W e lls Se cu rit y B ro ke ra ge ac co un t

8. Part VI! - line 80:"rhe so le asset of River Bend Investm enls L.L C. is a rehabbed ~-unit neighborhood apa rtment build ing in Cape Girardeau, M O, last appraisa l in 200"?.

9. Part VII - line 81:We ow na smal l p a rt ~, Limbaugh Lands, Inc t| e ; : I ~o ncs~:ead farm in Bo llin~er Count), MO.


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FINANCIAL DISCLOSURE REPORT N ~ n , e o f P e r s o n R e p o r t in g [ D,te of ReportPage l 0 of 10 Limbaugh, Jr., Stephen N.

I05/14~010

IX. CERTIFICATION.I c e r t ify Cha t a l l in fo rmat ion g iv en ~bove ( in c lnd ing in fo rmat ion per ta in ing to my spou se and m inor o r dependen t ch i ld r en , i f any ) i saccu r a te , t r u e , and com p le te to th e b es t o f my know ledge and be l ie f , and th a t any in fo rmat ion no t r epor ted w as wi thhe ld becau s e i t m et app l ic ab l e s~a tu to ryp rov is ion s p erm i t t ing non -d is c lo su re .1 fu r th e r c e r t i~ th a t ea rned in come f r om ou ts ide emp loym en t and honor a r ia and th e accep tance o f g i f t s wh ich have been r epo r ted a r e incom pliance w ith the provis ion s of 5 U.S.C. app. 501 et. seq. , 5 U.S.C. 7353, and Judic ial Conference re gulations .

NOTE: ANY INDIVIDUAL V~rH O KNOA~INGLY ?~ND V ~ILFLrLL~ FALSIFIES OR FA[I,S TO FILE TItIS REPORT M AY B E SUBJECT TO CIVILAND CRIMINAL SANCTIONS (5 U.S.C. ap p. 104)

FILING INSTRUCTIONSIV l a i l s igne d o r i g i n a l a nd 3 a dd i t io na l c o p i e s ~o :

Committee on Financial DisclosureAdm i n i s tr a t iv e Of f i c e o f t h e Un i t e d S t a te s Cou r I sSui t e 2 -30 tOne Columbus Circle, N.E.Washington, D.C. 20544

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Stephen N Limbaugh Financial Disclosure Report for 2009