D NONE (No reportable positions.)

Transcription

1 O O FINNCIL DISCLOSURE REPOR in Government ct of I 978 Rev FOR CLENDR YER 2006 (5 U.S.C. app. OI-I II) Report Required by the Ethics Person Reporting (last name, first, middle initial) Court or Organization Gruender, Raymond W Eighth Circuit Court of ppeal itle (rticle III judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. Circuit udge - ctive Sa. Report ype (check appropriate type) D Nomination, Date D Initial nnual D Final 6. Reporting Period 01/01/2006 to 12/31/ Chambers or Office ddress 111 South enth Street Suite 2365 St. Louis, MO Sb. D mended Report 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date IMPORN NOES: he 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, POSI! 0 NS. (Reporting individual only; see pp of instructions.) D NONE (No reportable positions.) POSIION ---NM OF ORGNN/ 1. dvisor W.R. Persons Charitable rust (advise on charities to receive funding; no control or involvement in investment or disposition of assets) llocations Committee Variety Club of St. Louis (advise on charities to receive funding; no control or involvement in investment or disposition of assets) National Council Washington University School of Law (no control over investment assets) Board of rustees William Woods University (no control over investment assets) I GREEMENS, (Reporting individual only; see pp of instructions.) NONE (No reportable agreements.) PRIES ND ERMS _, - m 0

2 FINNCIL DISCLOSURE REPOR Page 2 of9 Gruender, Raymond W III, N 0 N-NVES MEN N C 0 ME. (Reporting individual and spouse; see pp of instructions.). Filer's Non-Investment Income NONE (No reportable non-investment income.) SOURCE ND YPE INCOME (yours, not spouse's) B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complete this section. (Dollar amount not required except for honoraria.) D NONE (No reportable non-investment income.) SOURCE ND YPE 2006 on Consulting - salary IV. REIMBURSEMENS -transportation, /odging,food, entertainment (Includes those to spouse and dependent children. See pp of instructions.) NONE (No reportable reimbursements.) SOURCE DESCRIPION

3 FINNCIL DISCLOSURE REPOR Page 3 of9 Gruender, Raymond W V GIFS. (Includes those to spouse and dependent children. See pp of instructions.) NONE (No reportable gifts.) SOURCE DESCRIPION VLUE V LIBILIIES. (Includes those of spouse and dependent children. See pp of instructions.) NONE (No reportable liabilities.) CREDIOR DESCRIPION VLUE CODE

4 FINNCIL DISCLOSUR REPOR Page 4 of9 Gruender, Raymond W VI INVESMENS and R u SS - income, value, transactions (Includes those of the spouse and dependent children. See pp of filing instructions.) D NONE (No reportable income, assets, or transactions.). B. c. D. Description of ssets Income during Gross value at end of ransactions during reporting period (including trust assets) reporting period reporting period (I) (2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset mount ype (e.g. Value Value ype (e.g. Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code 1 buyer/seller (-H) or int.) (-P) Code 3 redemption) Day (-P) (-H) (if private (Q-W) transaction) UMB Bank (checking accounts) Interest K Bank of merica common stock 05/01 Cisco common stock Sold Citigroup common stock Coming common stock Sold 05/11 6. Crown Holding common stock Sold 04/19 7. Dell common stock Sold 04/19 8. Exxon Mobil common stock 9. Federal National Mortgage common stock Sold 05/ Federated Department Stores common stock 05/ FedEx common stock Partial sale 05/17 c 1 Sold 08/09 c 1 General Electric common stock 1 Goldman Sachs common stock K K 1 Home Depot comon stock Sold 08/ Intel common stock Sold Microsoft common stock Income Gain Codes: $1,000 or less B =$1,001. $2,500 c =$2,501 $5,000 D =$5,001 $15,000 E =$15,001 $50,000 (See Columns BI and D4) F =$50,001 $100,000 G =$100,001 $1,000,000 HI =$1,000,001 $5,000,000 H2 =More tban $5,000,000 Value Codes =$15,000 or less K =$15,001 $50,000 L =$50,001 $100,000 M =$100,001 $250,000 (See Columns Cl and D) N =$250,001 $500,000 0 =$500,001 $1,000,000 Pl =$1,000,001 $5,000,000 P2 =$5,000,001 $25,000,000 Value Metbod Codes P3 =$25,000,001 $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 =Cash Market (See Column C2) Q =ppraisal U =Book Value V =Otber S =ssessment W '-Estimated

5 FINNCIL DISCLOSURE REPOR Page 5of9 Gruender, Raymond W VI INVESMENS and RUSS - income, value, transactions (Includes those of the spouse and dependent children. See pp ofjng instructions.) D NONE (No reportable income, assets, or transactions.). B. c. Description of ssets Income during Gross value at end of (including trust assets) reporting period reporting period D. ransactions during reporting period Place "(X)" after each asset exempt from prior disclosure (I) mount Code I (-H) (2) (I) ype (e.g. Value div., rent, Code 2 or int.) (-P) (2) (I) Value ype (e.g. Method buy, sell, Code 3 redemption) (Q-W) (2) (3) (4) Date Value Gain Month- Code 2 Code I Day (-P) (-H (5) Identity of buyer/seller (if private transaction) 18. Newscorp LD common stock 19. Oracle common stock 20. Proctor & Gamble common stock albot's common stock Sold UnitedHealth Group common stock 01/ /18 2 US Steel common stock Partial sale 05/12 c 2 Sold 08/09 B 26. Verisign common stock Partial sale B 27. Sold 10/02 B 28. Vertex Pharmaceuticals common stock 01/ / Wal-Mart common stock 3 Xerox common stock Sold 04/24 3 Yahoo common stock Partial sale B 3 Scottrade money market B Interest L 3 IR -- merican Funds; Small Cap World 1. Income Gain Codes: =$1,000 or less B =$1,001 - $2,500 c =$2,501 - $5,000 D =$5,001 -$15,000 E =$15,001 - $50,000 (See Columns Bl and D4) F =$50,001. $100,000 G =$100,001 - $1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000 Value Codes =$15,000 or less K =$15,00I - $50,000 L =$50,001 - $!00,000 M =$100,001 -$250,000 (See Columns Cl and D3) N =$250,001 -$500,000 0 =$500,001 - $1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000 Value Method Codes P3 =$25,000,00 I - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 =Cash Market (See Column C2) Q =ppraisal V =Other S =ssessment U =BoOk Value W =Estimated

6 FINNCIL DISCLOSURE REPOR Page 6 of9 Gruender, Raymond W VI INVESMENS and RUSS - income, vatue, transactions r1nc1udes those of the spouse and dependent children. see PP of filing instructions. D NONE (No reportable income, assets, or transactions.). B. c. D. Description of ssets Income during Gross value at end of ransactions during reporting period (including trust assets) reporting period reporting period (I) (2) (1) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset mount ype (e.g. Value Value ype (e.g. Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, Month - Code 2 Code I buyer/seller (-H) or int.) (-P) Code 3 redemption) Day (-P) (-H) (if private (Q-W) transaction) Fund 3 IR -- Scottrade c M IM Large Cap Growth Fund IM echnology Fund IM Small Cap Growth Fund-formerly IM Small Co Growth Fnd Fidelity dvisor Growth Opportunities Gabelli Global Growth Fund Gabelli Value Fund 4 --anus Enterprise Fund 4 --anus Research Fund (formerly anus Mercury Fund) 4 --MFS Emerging Growth Fund 4 --MFS Massachusetts Investors Growth Stock Fund Putnam International Equity Fund Putnam New Opportunities Fund Rowe Price Blue Chip Growth Fund Rowe Price Science and echnology Fund Scottrade Money Market 1. Income Gain Codes: =$1,000 or less B =$1,001 $2,500 c=$2,501 $5,000 D =$5,001 $15,000 E =$15,001 $50,000 (See Columns Bl and 04) F=$50,001 $100,000 G =$100,001. $1,000,000 Bl =$1,000,001 $5,000,000 H2 =More than $5,000,0()0 Value Codes =$15,000 or less K=$15,001 $50,000 L =$50,001 - $100,000 M =$100,001 $250,000 (Sec Columns Cl and D) N=$250,001 $500,000 0=$500,001 -Sl,000,000 Pl =$1,000,001 $5,000,000 P2 =$5,000,00 I $25,000,000 Value Method Codes P3 =$25,000,001 $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 =Cash Market (See Column C2) Q =ppraisal V=Otber S =ssessment U =Book Value W =Estimated

7 FINNCIL DISCLOSURE REPOR Page 7of9 Gruender, Raymond W VI INVESMENS and R us S - income, value, transactions (Includes those of the spouse and dependent children. See PP of filing instructions.) D NONE (No reportable income, assets, or transactions.). B. c. D. Description of ssets Income during Gross value at end of ransactions during reporting period (including trust assets) reporting period reporting period (1) (2) (I) (2) (1) (2) Place "(X)" after each asset mount Ye (e.g. Value Value ype (e.g. Date Value Gain dentity of exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, Month- Code 2 Code 1 buyer/seller (-H) or int.) (-P) Code 3 redemption) Day (-P) (-H) (if private (Q-W) transaction) (3) (4) (5) 51. owers-perrin 40l(k) Savings Plan (Mix D, M indep. managed) 5 on Savings Plan M 5 --Dodge & Cox Stock Fund Bi-mo 5 --Managers Special Equity Bi-mo 5 --on Common Stock Vanguard Capital Opportunities Bi-mo merican Funds - EuroPacific Growth Bi-mo SSg S&P 500 Index Strategy Bi-mo NDR sset llocation Strategy Bi-mo 60. Irrevocable rust u/a D M / Vanguard ax Exampt Money Market 6 --Vanguard Intermediate erm ax Exempt Fund Income Gain Codes: =$1,000 or less B =$1,001 -$2,500 c =$2,501 -$5,000 0 =$5,001 - $15,000 E =$15,001 - $50,000 (See Columns Bl and 04) F =$50,001 -$100,000 G =$100,001 - $1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000 Value Codes =$15,000 or less K =$15,00 I -$50,000 L =$50,001 -$100,000 M =$100,00 l - $250,000 (See Columns Cl and 03) N =$250,001 -$500,000 0 =$500,001- $1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,00 I -$25,000,000 Value Method Codes P3 =$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 =Cash Market (See Column C2) Q =ppraisal V =Other S =ssessment U =Book Value W ""Estim<ited

8 FINNCIL DISCLOSURE REPOR Page 8of9 Gruender, Raymond W VII DDIIONL INFORMION OR EXPLNIONS. (lndicateparto/report.)

9 FINNCIL DISCLOSURE REPOR Page 9 of9 Gruender, Raymond W IX. CERIFICION. 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 which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and udicial Conference regulations. Signatu NOE: NY INDIVID ND CRIMINL SNCIONS (5 U.S.C. app. 104) Date_3 -f (- _o _ /, o ] FLSIFIES OR FILS O FILE HIS REPOR MY BE SUBEC O CIVIL FILING INSRUCIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure dministrative Offce of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C