Report Required by the Ethics
in Government Act of 1978
(5 u.s.c. app. §§ 101-111)
FINANCIAL DISCLOSURE REPORT
FOR CALENDAR YEAR 2005
AOlO
Rev.1/2006
I. Persoa Reportlnc (last name, llrst, middle Initial)
3. Date of Report
2. Court or OrpnlDlloa
04ml1006
US District Coort, SC, IND
BARKER. SARAH E
4. nt1e (Artlde m Judges Indicate ad1Ye or senior status;
magistrate judgr:s Indicate l'uJJ- or part-time)
ACTIVE ARTICl.E m
6. Reporting Period
Sa. Report Type (cbeck appropriate !Jpe)
0 Nominalioo,
0 Initial
01/01/2005
Dale
to
Annual
0
12131/2005
Final
Sb.
7. Oiambcn OI' Olllc:e Addnss
46 EAST omo STREET, ROOM 210
INDIANAPOLIS, IN 46204
0 Ammdcd Report
I. On lbe basis ol lbe latCll'DDllon CODlalned In Ibis Report and any
modllkadom pertalalnc tbereto, It Is, In ID7 opinion, Ill compliance
with appliclble laws mid rqulallons.
Date
Rmewlng Ollker
IMPORTANT NOTES: The instrudions auompanJiltg thilf- lllllSI be foDowed. Complete anparts,
checking the NONE box/or eadl part when JOU hm>e no nporlabk ln/Dnl#llion. Sign on lastpage.
I. POSmONS. (Reporting in4iridal onq; IN pp. 9-13 o/inrtrudil>M.)
0
NONE (No reportable
positions.)
NAME OF ORGANIZATION/ENTITY
POSITION
I.Member
Indiana Academy
2. Member, Board of Advisors
Spirit and Place Festival, The Polis Center
3.Member, Board of Advisors
Indiana University-Purdue Univcmty at Indianapo lis (IUPUI}
4. Em:ritus Memba, Board of Visitors
Indiana Univmity, School of Law, Bloomington
S.Membet
Distinguished Alumni Service Award Oub, lodiana University
6.Vice President and President-Elect
Fcdcral Judges Association
7.Membet
Indianapolis. Fcdcral, and Indiana State Bar Associations
8.Membet
The Lawyers Cub, Indianapolis
9.Direclor
Clarian Health Partners, Inc. (non-profit)
IO.Member
Downtown Kiwanis Oub of Indianapolis
11.Direclor
Indiana Historical Society
12.Direclor
ASTAboard (fOllDCrly EINSHAC)
I3.Member, Executive Committee
The Gathering
I4.Member, Board of Advisors
Center for lntcmational and Comparative Law, Indiana University Sdiool of Law,
Indianapolis
15. Dbector/Mcmbcr of the Corporation
Methodist Health Group Inc. (non-profit)
16.Advisor
American Law Institute, Aggregate Litigation Project
17.Mcmbcr
National Women Judges Association
18. Dbector
Conner Prairie Living Museum Foundation
?J.
( ('; :..:·-·
,. ..
-:.':!'
N
19. Member, Board of Directors
Hanover College, Hanover, Indiana
20.
21.
22.
23.
II. AGREEMENTS. (Rqortini indirilburl onq; 1npp. U-16 o/instnu:Mns.}
[[)
NONE (No
reportable agreements.)
PARTIES AND TERMS
1.
2
3.
FINANCIAL DISCLOSURE REPORT
Page 3of8
Date or Report
Name or Person Repor11og
04/27/2006
BARKER, SARAH E
Ill. NON-INVESTMENT INCOME. (Reponin1iNliridual"""1pom•; m pp. 17-U o/instn1ttio111.)
A. Filer's Non-Investment Income
[!]
NONE (No reportable
non-investment income.)
SQURCE AND TYPE
INCOME
(yows, not spouse's)
1.
2
3.
4.
5.
B. Spouse's Non-Investment Income q'°" wnw .....w 4win1111i:1 pottilln o/tlu rq>0mn1,..,, comptm this 1tt:tion.
•
(Dolltlr11m0111Unotr
[!]
rolauptforlumorllrill.)
NONE (No
reportable non-investment income.)
SOURCE AND TYPE
1.
2
3.
4.
s.
IV. REIMBURSEMENTS - tntnspoltillJot ""'Pn£1ood. arlntllilurunt.
(lndudu those to spouse and depe1Uknt cJUldnn. See pp.1S-27 ofinstnlaions.)
D
NONE (No reportable
reimbursements.)
SOURCE
DESCRIPTION
1. The Sedona Conference
April S - 8, Sedona, Arizona, "CAFA" seminar panelist (traDsportation, meals and lodging)
2 Federal Judges Association
May 14-16, Washington, DC, board meeting (transportation, meals and lodging)
3. Practising Law Institute ("PLI")
July 28-29, New York City, class-action seminar speaker (traDsportation, meals and
lodging)
4. Advanced Science &. Tcdmology Adjudication Standards,
Credential and Accreditation Bd
October 7·9, Warrenton, Virginia. board meeting and judicial seminar (transportation. meals
and lodging)
s.
FINANCIAL DISCLOSURE REPORT
Name ofhrson ReportJnc
Date or Report
BARKER, SARAH E
Page4 of8
V. GIFTS. (lnclluks tlwr• ta spouse tlllll dependent dii1dnn. Su Pf1. 28-31 ofinstnutionr.)
D
NONE (No reportable
gifts.)
J)'ESCRIPIION
SQURCE
"Living 1..4..-gcnds" annual rcccptiO!l and dinner to honor outstanding
Hoosiers
I. Indiana Hislorical. Society
YALUE
$350
2
3.
4.
s.
VI. LIABILITIES. <Indluln t1ior• ofspo111• """hrruknt dii1dnn. s..,,,,. 3z.u o/inslndionr.J
D
NONE (No reportable
liabilities.)
CREPITOR
I.NONE.
2 SEE"ADDmONAL INFORMATION
FOR EXPLANATIQNS"
3.
s.
DF.sCRIPTIQN
YALUEOODE
Date or Report
Name ol l'Hsoo Reporting
FINANCIAL DISCLOSURE REPORT
Page5 of8
BARKER, SARAH E
vn. INVESTMENTS and TRUSTS -WOIM, wlbl,, lrruuat:tions (indllda thou o/tlu SpolUl W tkpenlknt childnn. s.. PP· 34-57 offiling instructions)
D
NONE (No
reportable income, assets, or transactions.)
A.
(
(I) .
Amount
Code I
. (A-II)
I. Bose McKinney & Evans Retiremem
Plan, Coqunoa Trust Fund
E
o.
Gross value it end ol .
repcil1ing period
1Dcomc during
jrUSt aSscts)
·OQ"lftcrcacl!
fto.n prior disclosun:
c.
B.•
olAsscls
period
(2)
Type (e.g.
div rcol,
« inL)
O>
Value .
Code 2
(J-P)
Dividend
M
(2)
Value
M.cthod
Code3
(Q-W}
Transactions during tq>Olting period
•
(I)
TypC(e.g.
buy , sell;
·
mlcn.,iion)
(2)
Moodl­
Day
(3)
Value
Code2
(J-P)
(4)
Gain
Code I
(A-II)
ldcnlityo(
buyer/seller
(i(private
tranSacdoo)
Sec explanatory
T
DOie
I.a. Kirr Malbach F.quity Fund
B
Dividend
K
T
Partial
K
MH
A
Rctircment Plan
Account
Liquidatioo*
l.b. Private Capital Managcmem Equity
Fund
B
Dividend
K
Partial
T
-
K
I/OI
A
B
Dividend
K
T
. I.d. Vanguard lntcrmediatc Tenn Bood
Index Fund (VBILX)
A
Dividend
1
T
c
Dividend
K
T
D
Dividend
L
T
I.e. Vanguard Rcit Index Fund (VGSLX)
· . l.f. Vanguard Intcmatiooal Value Fund
(VTRIX)
Buy*
*Reallocation
within
Rctircment Plan
Account
Liquidatioo*
f I.e. Vanguard Wellington Balanccd Funcl
(VWENX)
*Reallocation
within
L
I/OI
*Reallocation
within
Retirement Plan
Account
2 Indianapolis Post Office Credit
Union. Account
A
lntcrcst ,
K
T
. - 3. JP Morgan Owe Bank
A
lntcrcst
K
T
· - 4. EuroPacific Growth Fund, Los
Angeles, CA. IRA
A
Dividend
K
T
' . (Mutual
Fund)
B
Dividend
K
T
. 6. Mmill Lynch Retirement Reserves
(IRA Money ACCOUDts)
A
lntcrcst
1
T
(Mutual Fund)
.. 5. Mmill Lyndi Global Allocation
Fund, Inc., IRA
1'.
._;..;.Gain Codes:
(See eoi.....,. Bl ·...i D4)
2. Value Codcs
(Seo owmm Ct and D3)
3. Value
Codes
(Seo Co1wm Cl)
Sl.m
Sec Explanatory
Note
A-Sl,OOOorlea
B -$1;001 -
C-$2,301-$3.000
D 9".001
F ;,sso.o1
o - $100.000
G-SUl0,001 - $1.000.000
HI -Sl.000.001 $3.000.000
H2 •Mcn lhlDs..1.000.000
K-SU.001. $30,000
L-$50.001 ·SI00.000
M-SI00.001
Pl -St.000,001 $3.000 .000
P2 -ss.0.00 001 -$25.000.000
P4•More1hlD $30.000.000
T-c..i.Muta
J -$15.000 or lea
•
N -su>.00! - $300.000
o -s500 oot -St.000.000
P3 -ru.000.001 -$30.000 .000
R mCosl (Real &talc Ooly)
Q•Appnilll
U•Book Vlluc:
.
V-<llbcr
•
•
s •Asoessmcol
W•Eaimol.d
•
Sl OOO
·$2.50.000
l!-SU.001 -SS0.000
Date or Report
Name of Pason Reporting
FINANCIAL DISCLOSURE REPORT
Page6of8
BARKER, SARAH
VII. INVESTMENTS and TRUSTS - inco-, Pllbu, tnuuodions (inehu/n those o/IM lpOllSe 111111 de/Hnlknt clri14nn. SnPP• 3'-51 o/filint instnldions}
D
NONE (No reportable
income, assets, or transactions.)
8.
.A.
Income duiing
Desaiplion of Assets
(mdudin& trust assets)
·.
rqior1ingl>Cri0d
(I)
Amount
Code I
(A-11)
Place ·oo· after each
cxcmpe from prior disclosme
' 7. JP Morgan Owe Bank
(2) .
1'nJC.(c;g,
div rcui,
.cir )
.
c.
Gross value at cod of
. repCrtiDg period
. (I}
(2)
Vatuc
Vallie
Codc2
Mdhoo
Code.3
(J-P)
(Q-W)
Nooe
I
T
lnlerest
I
T
' -.. 9. CISCO Systems, Inc. Cammon Stock
Nooe
J
T
. . . 10. Align Tcdmology, fuc. Cammon
Stock
None
I
T
lnlerest
L
T
Nooe
I
T
8. JP Morgan Owe Bank
A
... 11. JP Morgan Owe Bank
B
·• =.. 12. Hartford Whole Llfc
I.
i-n. Gaia Codes:
(See CGlumm Bl ml D4)
2. Vllue Codes
(See CGlumm Cl aad D3)
3. Vllue Mdhocl Codes
(Sec Column C2)
(I)
Typc(e.g,
buy, sell,
merger.
mlen.,iioii)
(2)
Mon_lh·
Day
(3)
Value
code2
(J-P)
(4)
Gain
Code I
(A-H)
A-SUJOOorlell
B -Sl,001 -$2.500
c -$2.501 - $5,000
D sS!l.001-$15,000
F-$30.001·· $100.000
G-SI00,001 $1.000.000
HI -Sl.000.001 Sl.000.000
Ill ·More- $3,000.000
J-SU.OOOorlell
K-SU.001-Ul.OOO
L-Ul.001 ·$100.000
M-$100,001·
Os$!IOCl,OOl-$1.000.000
Pl-Sl.000.001 Sl.000.000
Pl sS!l.000.001 • SlS.000.000
R -cost (hal &tale Oaly)
P4 •Mono"- Ul.000,000
TaCaShMutd
N
.001 Sl00.000
•
P3 -ru.000.001 • Ul.000.000
Q •Appniisal
U•BootValuc
•
V-Olbcr
•
•
sW•Es6mltcd
.ocio
(5)
ty9(
·
liuycrlSdJcr
(ifjJriValc
O.i>
E-SU.001-Ul.000
FINANCIAL DISCLOSURE REPORT
Page? of8
Name or Person Reporting
Date of Report
BARKER, SARAH E
04/'J:l/2006
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndiutepano/Report.)
VI:
y is s
DO longer a dcpcndeut) has graduate educational
such loans, and neither the rcpmting penoo nor
ch are occasiooally listed, wrongfully,
involved in such loans in any legal capaci
•.
t report. However, our
a tax-dcfencd common bUst fund for IClircmcnt
Section VII (1): The interest in the "Bose McKinney & E
Rctircmcnt Plan" is an inlcrcst
ed by bUstccs who are elected from within the
pwposcs, which is maintained b
onner
overall Rctircmcnt Plan is i
partnership of the Bose Mc
law flilD.
not cligi"blc to vote for such trustccs and has no voice in nominating or otherwise selecting them.
The plan bUstccs have approved as many as ten coll
i:ommingled investmcut options, and at appointed times resources may be n:allocated within and
among such options. All Funds listed under such IClircmcnt Plan in this rmancial Disclosum Report consist of such designated collective invCSlmclll options.
transactions within their respective
Furthennore, all Funds so listed are managed by indcpcndcnt profcssiooal managers who engage in various andlor n
funds. In the cowsc of ovcrsccing assets in such various commingled funds, the Plan
ve delegated to the professional fund managers all authority with
·thin each fund.
regard to purdlascs, sales, exchanges, or other dispositions
y has no more control over individual assets than would
be had as an investor in any publically-traded mutual fund.
ole rcprcscnlS.lcss than one percent of the Plan's assets,
tcrcst in the
is making no contn"bution to the Plan outside the rcinves
generated from within the above-listed funds themselves.
empwThc
-
umerous
·
--
Section VII (6): °Merrill Lynch Rctircmcnt Reserves" is a:i aggregated and occasiooally reportable, temporary accumulation of IRA cash held as reserves and/or
swept into deposit accounts in M
Lynch banks. This _is in csscncc a cash flow plMmcmmnn which occurs to varying degrees within IRA accounts prior to
dividends, etc., being automatically reinvested in the underlying holdings, which themselves produced the dividends. Such underlying holdings are disclosed fully
clscwherc in Section VII.
·
FINANCIAL DISCLOSURE REPORT
Page 8of8
Name of Person Reporting
Date or Report
04/27nJ:J06
BARKER, SARAH E
IX. CERTIFICATION.
I certify that all lnfonnadon given above (including lnfonnadon pertaining to my spouse and minor or dependent children, If any) Is
accurate, true, and complete to the best ol my knowledge and belld', and that any lnfonnadon not reported was withheld because it met applicable statutory
provisions pennltdng noo-disdO&Ure.
I further c:a1ify that earned lllCGllle from outside employment and honoraria and the acceptance ol gm, which have been reported are In
compliance with the provisions ol 5 U.S.C. app. § 501 et. seq., 5 U.S.C.17353, and Judldal Conference reguladons.
_____ Date
'Z.t;
,
-Zoo(,.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO F1U THIS REPORT MAY BE SUBJECT TO CIVIL
AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)
FILING INSTRUCilONS
Mail signed original 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