l

R~,, r,2mo

,~o !0

1
[

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 20119
2. Court or Organization (JS. Distric! Court EDKY 5a. Rcpor~ "l)pe (check apprepriate bpc} ~ Nomination. Date

t~q,o,-, Required by the Ethics"

in Government Act q]1978

I. Person Reporling (la:;t name. first, middJe initial) Thapar, Amul R. 4. Ti[le (Article Ill judgc~ indicate active or senior status;

3. Date of Report 04/25/2010 6. Reporting Period 01/01/2009

12;31 t2009
5h. ~ Amended Report 7. Chambers or Office Address United Stules District Cou~ 310 S. Main Strect, Suite 444 London, Kentucky 41)741 : 8, On let. basis of the informallon cunlained in this Rtpurl and arD mc,difications pcrlaining lhcreto, il is, in my opinion, in compliance ~ill~ applicable law~ and regulations. Rt, vie~ving Officer Dale

IMPORTANT NOTES: the instructions acconqmn_ring this Jorm mu.t be fidluwed. Conqdete all parts, checking tire NONE boxJbr each part where you have no reportable #~formation. Sign on last page.

1. POSITIONS. (Reporting individuM only; ~ee pp. 9-13 of filin.e in.structb,,,a.)

[~ NONE (No reportable positions.) POSITION
l. Natmnal Advisory Council

~NAME OF ORGANIZATION/ENTITY
Ntuth American South A~ian Bur Association

2.

Adjunct Professor {Spring 2009)

Ciaase College of Law

;..~

~]

NONE (No reportable agreements.)

DATE
I.

PARTIES AND TERMS

Thapar, Amul R.

FINANCIAL DISCLOSURE REPORT Page 2 of 1 0

,~ .......]~ ..... Rt, portlng f

Date,,fRtporl

~,~par, Amu~ R.

OVZS/20~0

111. NON-INVESTMENT INCOME. Revo,,i,,x

A. Fliers Non-Investment Income NONE (No reportable non-investment income.) ~
I. 5.,2009 2.

SOURCE AND TYPE

Chase C~:tlegc ul" La;,. Saiary tbr Teaching Course

INCOME
(yours. not spouses} $2,000 00

3.
4.

B. Spouses Non-Investment In COIIle - l]you ,vcre married during uny pt,rtion olthe r~porti~g year, romplete this sectiort ~

[
I. 2. 3.

NONE (No reportat~lt mgn-ittvestme~t income.) DATE SO[,JRCE AND TYPE

4.

IV. REIMBURSEMENTS

~
I.

N ONE (No SOURCE

Washington and Lee Sottlh As~an Law Sludenl Associalion University of Virginia I_aw School Moot Coral New [:ngland l~ax~ School Federalist Society Unwcrslty of Pcnnsylxania Souih Asian l.aw Smdcn~ Association Duke UmvcrsiD Federalist Soc:cty

reimbursement.~.) DATES
l ~23~ 20~t9 to

[_OCAT1ON
l.exington. VA

PURPOSE
Key note speaker

]TEMS PAID OR PROVIDED

7 ravel, mtals, hmel

2.

2/20,"2009 2/22/2009 3;I S:20t!9 to 3 1 q/2009 Boston, MA

School Speaker at Law School Travel. meals, hotel

3.

4.

3..526;2009 Io 32772009

Plfiladelphia. PA

Keyonte Speaker at ba~quet

Travel. meals, hotel

5.

I;~ t/20{19 to 4/I ?20tlq

Durham, NC

gpokc to Fed. Soc g~oup and South Asian Law

Travel. meals, hntcl

FINANCIAL DISCLOSURE REPORT Page 3 of 10

N ......fP ..... Reporling

Da~eMIleport

o~/25~2o~o [ T,~p~, a,-.,a ~.

Students Assoc

6.

Yalc Law School

4/28/2009 to 4/29/2009

Ncw tlaven, CO

Judged mock trml

Travel, meals, hotel

7.

American Bar Association

4130/2009 to 511i2009 Atlawta, GA

spcaker at convention

Traw.l, meals, hotel

FINANCIAL DISCLOSURE REPORT Page 4 of 10

Namc of Person Reporting

Date of Report

~J~2.~,-_o~o I rhap~,r,,~lu~ r~.

~. G I FqS. (Inclt, de., ,has,, to sp ........ d depe,,d,,,, ehildte,,: see pp. 2S-31 ~fJiling i,,~tructio,,s.J

NONE (No reportable g~Bs.) SOURCE

1.

DESCRIPTION

VALUE

3 4. 5

V !. L 1A B 1 L 1T ! E S. a,,.~,~,, tl, o.,.,, 4,p ........ ~ del, ende,,t childr,n; .,ee pp. 32-33 o]~[iling instrurtionx.}
NONE (No reportable liabiiities.) CREDITOR
I. 2. 3, 4. 5.

DESCR1 PT1ON

VALUE CODE

FINANCIAL DISCLOSURE REPORT

Page 5 of 10

IN
.....

f P ..... Reporting ~,mul R. ] 04/25/2010 Date of Rcpor~

] Thap ....

V 1 i. I NV ESTM EN TS an d TRU STS - i .......... .a;.~,, ...... ,i,,,u (~n,t, aes a,,,se of.w ......a &,pena,,m d, ila ......... .pp. S4.~O ofiting
NONE (No reportable income, assets, or lrattsacliOttS.)
A Description of AssIs (including trust assets) Place "(XY allcr each asscl e~cmpt l~om prior disclosure ................... I. 2. 3. 4. ING Direct Accounts Vanguard Prime Money Market ] Inceme during Gross ~ aluc al end of reporting period Value Code 2 U-P) Value Method . Code 3 (Q-W) Type {c.g, buy, sell. redemptiont _ Transacfimas during rcpo~ttng period

~ reporting permd [Amount [ T}Tc (e g. Code I di~., rent. ~ (A-ID i or im.) l B A ; Interest Irarest

Date Value Gain mm,dd3y (ode 2 { Code I ~ (J-P) . (A-II) ~ I ~

Identity of buyer/seller (if private lransacdon}

K J

T T

TD Bank USA (Amcritradc Money Market) Fifth Third Bank {Checking Acct,)

A A

Imercst Interest Interest

K J J

T T T

5.

Paypal Inc. (Money Market)

6.
7.

Autozonc Inc. (AZOI Common

Nuance Comm. Inc. (NL!AN) Common

None
None

J
J

T
T

8,
9.

Selcct Com|brt Corp (SCSS) Common

Volcom Inc. (VLCbl) Common

None
N,mc

J
J

T
f

10.
11. 12. 13 14.

Dreamworks Animation (DWA) Common

Acccnturc Lid (ACN) Common Day, sun Geophysical Co. I D\;SN} Ct, mmo~ Elccuo Scientific |ndus. Inc. (ESIO) A

Nonc
Dividend

Buy

5:13 09

None

J None

T Sold 5q3,09 J

I I

I lassman Slratcg~c Growth Fund (IISOFX) [.Ioyds TSB Group ADR (LYG) Gmpo Arcopor~uado Dcl Pac (PAC}

A A A

Dividend

r "I T ,

15. 16.

D~vidcnd Dividend

J J

I 7.

Zumicz Inc. (ZUMZ) Common

None

Page 6 of 10

TUop .... \mul R.

04/252010

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

-,~ ....
Descfiplion of Assets 0ncluding Imst ~sscls)
Place "(X lII aflcr each asset e~cmp~ thm~ prior disclosure

~ ....
Income during reporting period ~Amount Type {c g. Code ~ : div, ~cnL l (A-t[) or int.) ~ ~

c. ...............
Gross ~alue at c~ of reporting period Value Co~c 2 (J-P} I

D
Transactions during rcporling

Value T~c (cIg., M~lhod i buy. s~ll. redemption) [ Code 3 IQ-W) ~ T Buy

Date

[mmdddiyy ~ Code 2 (.l-p} I

VMuc ~ (Jam C~dc I {A-tl)

ldemity of (ifpnvate lransacfion)

18, 19

Nimendo Corporation tN]DOY) Common

DNidcnd

5;13,09

Mar~cl Co~. (MVL) Common

None

Buy

5/13/09

20. 21. 22. 23. 24.

25.

Actlvdentity Corp. {ACTI) Common Chipotle Mexican Grill Inc. {CMG~B) Common Columbia Sportswear Co. (COLM) Endurance Specialty ttoldings (ENIO Middetby Corp. (MIDD) Common
Wexford TR Muhlenkamp FD (MUHLXJ A

None None A A l)iv~dcnd Dividend None

l)ividcr.t

Sold l J T T Sold J
J

05/15:0c~

5/15/09

T
T

26. 27. 28.

29.

New York & Company tN\V{) Common Portfolio Recovery Assoc. IPRAA) RC2 Corporation (RCRC) Common
l)isne~ Corp (DIS) Common A A

None None None

Dividend Dividend J J T T

Sold J T Sold
Buy Buy

5;1309

5q 3;09
5/1309 6/!9/09

J
J J

3I)

Acti.ismn llhzz:lrd, Inc. !AIVI) ( ommon

3 I.
32.

Sun Hydraulics Corp. (SNtlY) Common

Fannie Mae (FNM) Common

A
A

Di,,idcnd
Dividend

J
J

T
T

33.
34.

Hasboro Corp. OIAS) Common

Home Depol lnc IHD) Common

A
A

Di,idcnd
Dividcnd

J
J

T
F

Buy

10/27/09

DISCLOSURE REPORT FINANCIAL Page 7 of 10 VII. INVESTM ENTS and TRUSTS - ~,,. ........ ~., ....... ~0~, ( l,,tlude* tho*e ,,f sp ......
NONE (No reportable inconte, as.~ets, or transactions.)
A. Description of Assals (including tn~st usscts) ~ B. ~ C. " ~ l~come during reposing period (3ms~ value at end of reporting period .... ................ Transaclior~s during reporting period

04/25i2010

d dq,endhitdren; see pp. 34-60 of lili,,g instructions.) ......

Place "{ X)" ;flier each asset exempt t?om prior disclost~re

Amount "[lypC (c.g Value Value Type Ic g. Date Value Gain Method buy. ~elL mm"d~U~y Code 2 Code I rm~t. Code 2 Code I i div.. ~ -tA-tl) ~ or int.) redemption) (J-P~ A-II) (J-P) Cudc 3 ~Q-W)

Identity of buyer~scBer (if private tran~actionj

~35.

Montpelier Re Holdings Lid (MRH) Sanderson Farms Inc. (SAFM) Common

A A

Dividend Dividend

J J

36.

37. 38.

United Fire & Casualty Company (UFCS) Common .Apple Inc. (AAPL) Common

Dividend None

J J

T T B~y Buy (addl) Sold 12/29/09 5.22..19

?,9. 40

Berkshire I lathaway Inc. Del (lass B I BRK.FU Common Celsslar Corp. (CLST) Common

None None

5115/09

41. 42.

Costco Wholesale Corp. (COST) Common Cryptologic Inc. CRYP) Common

Dividend Dividend

.I J

T T

Buy

5.26;09

A A

43. 44.

Exxon Mobil Corp (XOM) Common Flamel Tcch Spon ADR (I"I.ML) Common

Dividend

J ,I

Bny

5; 12.09

None A Dividend

45. 46. 147. ! 48

Freightcar :\merica Inc. (RAIL) Common Intel Coq}. (INTC) Common Markel Co,p. (M KL) Commot, Microsoli (orp. (MSI:/I Common

Sokl T T "l1 T T

5 15

Di;idcnd Nonc

J J J J .I

Dividend None

49. 50.

Buflhlo Wild Wings {BWLD) Common

CTRIP.com International (CTRP) Common Formfactor Inc. (t"ORM) Common

Dividend Nor_e

5 I.

FINANCIAL DISCLOSURE REPORT Page 8 of 10

Name of Person Reporling

Date of Report

Th~p~r..~.,,~,1 r.

04!25/2010

VI I. l NVESTME NTS a n d T R U STS - i ............ ~.,, ........z~,~ a~.~ a,.~.. 4.v..~. ~,,~ ~e~,,,,*~u.o~ ...~e. ~-~ oLp.~ ~ .......

NONE (No reportable income, as~ezx, or transaclio.s.)

~ .......
(including I/tlSl aSSClS) Place "(XY after each asset excmpl tkom prior disclosure rcporlitlg period Amuunt Code i (A-Ill : of reporting pcri~ i Value Method i Code 3 IQ-W) Type (e.g. buy, ~ell. redemption} Date Value , (iron mmd~)T Code 2 ~ Code I O-P) IA H) i Identity of buycr:setler {if private transactiutO

T)~e W g, [ Value div.. rein, [ (ode 2 or int.I ~ 1_ (J-P)

52.

Invenliv ltcalth Inc. ~VTIV) Common

None

53. 54.
55.

Rofin-Sinar "rechnofogies Inc. (RSTI) Unico Amern Corp. (UNAM) Common

United Health Group Inc. (UNID Ctnnmon A A

None None
Dividend

T Sold 5;15/09 J

T T

56.

Ahria Group Inc. (MO) Common

Divideod

57. 58. 59. 60. 61.

62. 63. 64. 65,

Che~upcake (CHKI Federated Investors Inc. {FII) Common lfiTer Inc. (PFE) Common Kraft Foods Inc. (KFT~ Common Mcdco Iteahh Solutions (MILS) Common
Fhii!ip Morris lntcro:ltional IPM) Mcl)onalds (MCD) (ommon National (.)i!~ell Varco. Inc. (NOVI Nok~a Co~p tNQK) Common Vanguard 500 Index Funds A A

None A A A Di\qdend Di,.!dend Dividend None

DIvidend Dividend

J J J J J
J J J J K

I" T T T T
T T Buy 5115(19 J

A A

Dividend None Dividend

I T T

66. 67.

FINANCIAL DISCLOSURE REPORT Page 9 of l 0

s ...... [P ..... Reporting [

Date of Report

TJ,ap~r. ,,.,,.~ R.

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

FINANCIAL DISCLOSURE REPORT Page 10 of 10 IX. CERTIFICATION.

r~ ....fP, .... a~po~ti.g rha~ .... Amu! R.

o,t, of R~por, 114/25/2010

I certify that all informalion given ahove (including infnrmalion 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 ~ncl applicable statutory prn~isions permitting nun-disclosure. I furlhcr certify that earned income from outside employment and honoraria and the acceptance of gilt$ ~ hich have been reported are in compliance ~*ith the provisions of 5 U.S.U. app. 501 ct. seq., 5 U.S.(. 7353, and .ludicial Conference regulation\.

NOTE: ANY INDIVIDUAL WIIO KNOWINGI.Y AND WI1.FULLY FALSIFIES OR FALLS TO FILE TillS REPORT MAY BE SUBJECT TO CIVIl+ AND CRIMINAl, SANCTIONS (5 U.S.C. app. 1O4)

FILING INSTRUCTIONS Mail signed ot+iginal and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544