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Rev. t/2Otl FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0Report Required by the Ethics
in Government Act of 1978(5 U.S.C. app. 101-1 I1)
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 ir 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 i on 3 . Date o f ReportFrost , Gregory L. U.S. Dist. Ct., S.Dist.ofOhio 05109/2011
4. Ti t l e (Art ic l e III judges indica te ac t ive o r senior sta tus;magistrate judges indicate full- or part-time)
District Judge
7 . C h a m b e r s o r O f f i ce A d d r e s s169 U.S. Courthouse85 Marconi BoulevardColumbus, Ohio 4321 5
5a. Report Type (check appropria te type)] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. O n t h e b a s i s o f th 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 a n d a n ym o d i f i c a t io n s p e r t a i n i n g t h e r e t o , i t is , in m y o p i n i o n , i n c o m p l i a n c e
w i t h a p p l ic a b l e l a w s a n d r e g u l a t io n s .
Reviewing Officer Date
6. R eporting Period0 1 /0 1 /2 0 1 0
to12 /31 /2010
IMPORTANT NO TES: The inst ructions accom panying this form m ust be fol lowetL Comp lete a l l parts,checking the NONE box for each part where you have no reportable information. Sign on last pa ge.
I . P O S I T I O N S . m e p o . i n g individual only; seepp. 9-13 of filing instructions.)D (No reportablepositions.)ON E
POSITION NAME OF ORGANIZATION/ENTITYI. Director / Shareholder W.K. Frost, Inc. - owned corporation)
2. Director Maryhaven, Inc. (N on-profit drug and alcohal rehabilitation facility)
3. A dJunct P rofessor Ohio N orthern University , College of Law
4. A dJunct P rofessor Ohio State University, College of L aw5.
I I . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 of filing instructions.)[~] N O N E (No reportable agreements.)
DAT E PARTIES AND TERM SI. 0 3/0 1/0 3 P ublic E mployees R etirement System of Ohio, pension plan as a result of former position as state court judge.2.3.
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FINANCIAL DISCLOSURE REPORTP a g e 2 o f 8
N a m e o f P e r s o n R e p o r t in gFrost, Gregory L.
D a t e o f R e p o r t05/09/201 I
1 1 1 . N O N - I N V E S T M E N T I N C O M E . ~ R e p o r t i . g i . d i v i d u a t a . d s p o u s e ; s e e p p , t Z - 2 ~ of filing instructions.)A. Filers Non-Investment Income
~ (No reportable income.)ON E non-investmentDATE SOURC E AN D T Y P E INCOME(yours, not spouses)
1. 2010 W.K . Frost, Inc. (directors fee) $1 ,000 .002 . 2010 Ohio Public Employees Retirement System (pension) $74,321.003.4.
B . S p o u s e s N o n - I n v e s t m e n t I n co m e - If you were married during any portion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)
N O N E ( N o reportable non-investment income.)
1 . 2 0 1 02 . 2 0 1 03.4.
DAT E SOURCE AND TYPEState of Ohio, The Supreme Court of Ohio - salaryCentral Ohio T echnica! College - salary
I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment.(Includes those to spouse a nd dependent children: see pp. 25-27 of f iling instructions.)[-~ N O N E ( N o reportable reimbursements.)
2.3.4.5.
SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED
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FINANCIAL DISCLOSURE REPORTP a g e 3 o f 8
N a m e o f Person ReportingFrost , Gregory L.
Date of R e p o r t05/09/201 I
V . G I F T S . a n e l u d e s those to spouse and dependent children; see pp. 28-31 of filing instructions.)N O N E ( N o reportable g~s.)
SOURCEI.
2.
3.
4.
5.
DESCRIPTION VALUE
V I . L I A B I L I T I E S . (Includes those of spouse and dependent children; see pp. 32-33 oZfil ing instructions. )D N ON E (N o reportable liabilities.)
DESCRIPTIONI. -- (Rental unit throughNove mbe r 2 0 1 0 .2. BankofAmerica Meridian Condo Project mortgage O
3.
4.
5.
CREDITORPittsburgh National Bank ( P N C )
VALUECODEM
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FINANCIAL DISCLOSURE REPORTPage 4 o f 8 Ia m e o f P e r s o n R e p o r t in gFrost , Gregory L. D a t e o f R e p o r t05 /09 /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 - income, ealue, tr ..... ,ions (Includes those of spouse and dependent chiIdren; seepp. 34-60 of f iling instructions.)N O N E (No reportable income, assets, or transactions.)
Description of A ssets Income during(including trust assets) reporting period
(1) (2)Place "(X)" af t er e ach asset Amount Type (e.g.,
exempt from prior disclosure C od e I div., rent ,(A-H) or int .)
Gross value a t e ndof reporting periodO) (2)
V alue ValueCode 2 Method(J-P) Code 3( Q - W )
O)T y p e (e.g.,buy, sell ,
redempt ion)
Transact ions during reporting period
(2) (3) (4)Date Value Gain
mm/dd/yy Code 2 Code I(J-P) (A-H)
(5 )Identity of
buyer/seller(if private
transaction)
2.
3.4.
5.
6.
7.
8.
9.
1 0 .
I1 .1 2 .
1 4 .
1 5 .
16 .
17 .
Me rril Lynch - First M erit Corp. Commo nStockPark National Bank Checking Account
Park National Bank Checking Account
W .K. Fr ost, Inc. - Closely held stock
Clayton Land Ho ldings, LLC app raised3/15/00Shrimp lin #1 - Oil wellD e f e r r e d C o m p . l ~ - F id e li ty G r o w ~ . hCompanyDeferred Comp.~ - FidelityContrafundDeferred Comp.~ - Janus Fund
Deferred Comp.| - VanguardInternational Grow thD e f e r r e d C om p . ~ [~ - V an gu ar dInstitutional IndexDeferred Comp.~ - GuaranteedReturn OptionPlantation Federa l Bank - Jo int Che ckingAccountPlantation Federal Bank - Jo int M oneyM ark et AccountDeferred Comp.~ - FPA CapitalF u n dInvestment/Rental Property - Cocoa Be ach,FLDeferred Comp.~ - FideityContrafund
Dividend J TNone J T
None J TE D i s t r i b u t i o n M U
None L TRoyalty J W
None K T
None K TNone J TNone K TNone K T
None K TNone J T
I n t e r e s t L TNone K T
R e n t O WNone K T
Transfer from Aim
I. Income Gain Codes: A =$1 ,00~ or less B =$1 .001 - $2 .500 C =$2 .5 01 - $5 ,00 0 D =$5 ,0 01 - $15 ,000(See Columns B I and D4 ) F = $ 50.001 - $ 100.000 G = $ I 0~.001 - $ 1.00~.0~0 H 1 = $ 1.00~,0~ I - $ 5 ,00~,000 H 2 = M ore tha n $5.000.0~)
2. Value Codes J -$1 5 .0 00 or less K $15 .001 - $50 .000 L = $ 5 0 . 0 0 1 - $ 1 tE l , D 0 0 M =$100 ,001 - $250 .000(See Columns CI and D3) N =$250 ,001 - $500 .000 O -$500 .001 - $1 .00O.00O PI =$1.000.0~1 - $5.000,00~ P2 =$5,090,0~1 - $25,00~.0~0
P3 =$25 .0~ .001 - $50 .000 .000 P4 =More Ihan $50,0~0,0003. Value Method Codes Q = A p p r -a i sa l R Co~t (Real E,4atc Only) S =Assessment T =Cash M arket(See Column C2 ) U = Book Value V Olhcr W =Estimated
E =$15,001 - $50,000
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N a m e o f P e r s o n R e p o r t in gFrost , Gregory L.
D a t e o f R e p o r t05109/2011
VII. IN VESTMEN TS and TRUSTS - income, value, ira .... ,ions (Includes ,hose of spouse and dependen, children; seepp. 34-60 of fil ing instructions.)~-1 N O N E (No reportable income, assets, or transactions.)
D e s c r i p t io n o f A s s e t s Income during( i n c l u d i n 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(l) (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 c l o s u r e Code I d i v . , r e n t ,( A - H ) o r int.)
G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(I) (2)Value Value
C o d e 2 M e th o d(J-P) C o d e 3( Q - W )
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 reporting period(2) (3) (4)
D a t e Value G a i nm m /d d/ y y C o d e 2 Code I
( J - P ) (A-H)I d e n t i ty o f
buyer/seller( i f p r i v a t e~ r a n s a c t i o n )
1 8 . Deferred Comp.~[[~ Fidelity Growth None K1 9 . Deferred Comp.~ - Janus Fund None J20 . Deferred Comp.[~ - Vanguard None K
International2 1. Deferred Comp.~- Vangard None KInstitutional22 . Deferred Comp.~l - FPA Capital None KFund23 . Deferred Comp.~ -Guaranteed None KReturn24 . Merrill Lynch- EFA Fund A Dividend J25 . Merrill Lynch- SPY Fund A Interest J26 . Moundbuilders Country Club A Interest J2 7. Park N ational Bank Savings Account A Interest J28 . Park N ational Bank Saving Account A Interest K29 . Deferred Comp.[~ - Vanguard None JCapital Opportunity30 . Deferred Comp.~ Vanguard Total N o ne JBond Market Index31 . Merrill Lynch- IRA Account None J32 . Rental Property C olumbus, Ohio D Rent
33. Wells Fargo Brokerage Account~ N o ne N34. Merrill Lynch- Bank Deposit Program A Int./Div. J
TT
TTTTTTTTTTTT
Sold
T OpenT
11/17/10 M
12 /13 /10 N
Transfer from Aim
Sergio Brandeo
I. Income Gain Codes: A -$1 .0 00 or less B =$1 .001 - $2 ,500 C =$2 ,50 1 - $5 ,000 D =$5 ,001 - $15 .000(See Columns BI and D-I) F =$50.0~1 - $100.000 G =$100.0~1 - $1.000.0~0 HI =$1.000,0OI - $5.000.0OO H2 = More than $5.000.0~
2. Value Codes J =$15 .0~ O or less K =$15 ,001 - $50 .000 L =$50.001 - $I00.000 M -$100.001 - $250.0OOISeeC olumnsC landD3) N $250 .001 - $500 .000 O = $5 00 .0 01 - $1 ,0 00 ,0 00 P I = $ 1 .0 00 .0 01 - $5 ,0 00 .00 0 P2 =$5,000,001 " $25.000.000
P3 $25.000.001-$50.000.000 p4 =More Ihan $50.000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =As~ssmcnt T =Cash Market(See Column C2 ) U =Book Value V Other W =Estimated
E =$15,001 - $50,000
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N a m e o f P e r s o n R e p o r t in gFrost , Gregory L.
D a t e o f R e p o r t05 /09 /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 , va~ue~transacti~ns(~nc~udesth~se~fsp~useanddependentchi~dren;seepp.34~6~f~linginstructi~ns-)~ N O N E (No reportable incom e, assets, or transactions.)
A. B. C.Description of Assets Income during Gross value at end(including trust assets) reporting period of reporting p e r i o d
(I) 12) (1) (2)Place "(X )" after each asset Amount Type (e.g., Value Value
exempt from prior disclosure Code I div., rent, Code 2 Method( A - H ) o r i n t . ) (J-P) Code 3(Q-W)
(i )T y p e (e.g.,buy, sell,
redemption)
Transactions during reporting period
(2) (3) (4)Date Value Gain
mm/dd/yy Code 2 Code I(J-P) (A -H)
Identity ofbuyer/seller
(if privatetransaction)
3 5 . Mer r i ll Lynch - Ba n k Dep o s it Pro g ra m A36. M err i l l Lynch - B ank Dep os it Program A
[nt./Div.Int./Div.
J TT
I. Income Gain Codes: A =$1 ,00 0 or less B =$1 .001 - $2 ,500 C =$2 ,50 1 - $5 ,0 00 D =$5,001 - $15,000( S e e C o l u m n s B I a n d I ) 4 ) F = $ 5 0 . 0 0 1 - $ 1 0 0 . 0 0 0 G - $ 1 0 0 , 0 0 1 - $ 1 . 0 0 0 , 0 0 0 H I = $ 1 . 0 O O , 0 ~ I - $ 5 , 0 ( K I , O O O H 2 = M o r e t h a n $ 5 , 0 0 0 . 0 0 0
2 . Value Codes J =$1 5 .0 00 or less K =$15.001 - $50.000 L =$ 50.001 - $ 100.000 M =$100 .001 - $250 ,000(See Columns C I and D3) N =$250 .001 - $500 .000 O =$500 .001 - $1 ,0 00 .000 PI -$1 ,000 .001 - $5 .000 ,000 P2 =$5,000.001 - $25,000.000
P3 -$25.000,001 - $50.000.000 P4 =More Ihan $50,000.0003. Value Method Codes Q = Appraisal R Cost (R eal Estate Only) S =Assessment T =Cash Market(Sec Column C2) U =Book Value V -Other W =Estimated
E = $ 1 5 , 0 0 1 -
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N a m e o f P e r s o n R e p o r t in gFros t , Gregory L,
D a l e o f R e p o r t0 5 / 0 9 / 2 0 1 1
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.)" " -~[" -~ f, .~i~i i~ purchased a capital improvements bond as members o f Moundbuiiders Country Club and interest is being paid on the bond.On N ovember 17 , 20 10 , we sold the rental property located in Columbus, Ohio and realized a loss on the sale of the property.
~o"~ ~~ ~_ ~ opened a new brokerage account \vith Wells Fargo Bank on December 13, 2010 as a result of a lifetime exemption distributioni i~, .~-~ i)
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FINANCIAL DISCLOSURE REPORTPage 8 of 8
N ame of Person ReportingFrost , Gregory L.
Date of Report05 /09 /2011
IX. CERTIFICATION.I certify that all information given above (including information pertaining to my spouse and m inor or dependent children, if any) is
accurate, true, and complete to the b est of my kno~ vledge and belief, and that any information not reported ~ vas ~ vithheld because it met applicable statutoryprovisions permitting non-disclosure.I further certify that earned income from outside emplo)anent and honoraria and the acceptance of gifts which have been reported are incompliance with the provisions of 5 U.S.C. app. 50 1 e t. seq., 5 U .S.C. 735 3, and Judicial Conference regulations.
Signature : S/Gregor y L. Frost
N O T E : A N Y I N D I VI D UA 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 IF I E S O R F A L L S T O F I L 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 I V ILAN D CRIMIN AL SAN CTION S (5 U.S.C. app. 104)
Comm ittee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E .Washington, D.C. 20544