Repor/ Required by /he E1hics
FINANCIAL DISCLOSURE REPORT
AO/O
Rev.
112011
in Governmenl Ac/ of 1978
FOR CALENDAR YEAR 2010
I. Penon RepoMing (last name, lirst, middle inilial)
(5
U.S.C. upp.
3. Dale of Report
2. CouM or Organizalion
04/29/2011
U.S. District Court EDKY
Thapar, Amul R.
4. Tille (Article Ill judges indicale aclive or senior status;
§§ 101-1I1)
6. Reporting Period
Sa. Report Type (check appropriale type)
magislrale judges indicate full- or part-lime)
D
D
Active District Judge
Sb.
7. Chambers or Office Address
[{]
Initial
D
01/01/2010
Date
Nomination.
D
Annual
to
Final
12/31/2010
Amended Report
8. On lhe basis of lhe information contained in I his Report and any
modifications pertaining thereto, it is, in my opinion, in compliance
,,·ith applicable laws and regulations.
United States District Court
310 S. Main Street, Suite 444
London, Kentucky 40741
Date
Re>·iewing Officer
IMPORTANT NOTES:
The instructions accompanying this form must /Je followed. Complete all parts,
checking /he NONE /Jox for each part where you have no reporta/Jle information. Sign on last page.
I. POSITI0NS,
D
NONE
(Reporting individual only: see pp. 9-13 offiling instructions.)
(No reportable positions.)
NAME OF ORGANIZATION/ENTITY
POSITION
I.
National Advisory Council
North American South Asian Bar Association
2.
Board Member
Northern Kentucky Catholic Charities
3.
4.
5.
II, AGREEMENTS.
llJ
NONE
(Reporting individual only: see pp. 14-16 offiling instructions.)
(No reportable agreements.)
PARTIES AND TERMS
I.
2.
3.
Thapar
,
Amul R.
0412912011
Thapar, Amul R.
Page 2 of9
III. NON-INVESTMENT INCOME.
A.
Date or Report
Name or Penon Reporting
FINANCIAL DISCLOSURE REPORT
(Reponingindividualandspouu;supp.17-Uoffilinginstructions.)
Filer's Non-Investment Income
[{]
NONE (No reportable non-investment income.)
SOURCE AND TYPE
TNCOME
(yours, not spouse's)
I.
2.
3.
4.
B.
Spouse's Non-Investment Income
-
I/you were manied duringany portion of the reportingyear, complete this section.
(Dollar amount not required except for honoraria.)
[{]
NONE (No reportable non-investment income.)
SOURCE AND TYPE
I.
2.
3.
4.
IV. REIMBURSEMENTS
-transportation, lodging, food, entertainment
(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)
D
NONE (No reportable reimbursements.)
SOURCE
I.
University of Virginia Law
School Moot Court
2.
North American South Asian
Bar Conference
3.
Chicago Indian Amer. Bar
Assoc and Korean Amer. Bar
DATES
LOCATION
2/18/2010 to
2/2 l/20JO
Charlottesville, VA
6/24/20 JO to
6/27/2010
Boston, MA
9125120 JO to
9/26/2010
Chicago,
10118/2010
Columbus, OH
11/18/2010 to
11/21/2010
Los Angeles, CA
PURPOSE
Judged Moot Court at Law
ITEMS PAID OR PROVTDED
Travel, meals, hotel
School
Speaker, meetings, and
Travel, meals, hotel
moot court judge
IL
Speaker at both conferences
Travel, meals, hotel
Speaker
Travel and meal
Speaker and moot court
Travel, meals, hotel
Assoc
4.
Ohio State Asian American
Bar Association
5.
North American Pacific Asian
Bar Assoc
judge
FINANCIAL DISCLOSURE REPORT
Page 3 of9
V. GIFTS.
[{]
Name of Penon Reporting
Thapar, Amul R.
Date of Report
04/29/2011
(Includes those to spouse and dependent children: see pp. 18-31 offiling instructions.)
NONE (No reportable gifts.)
DESCRIPTION
SOURCE
VALUE
I.
2.
3.
4.
5.
VJ. LIABILITIES.
[{]
(Includes those ofspouse and dependent children; see pp. 31-33 offiling instructions.)
NONE (No reportable liabilities.)
CREDITOR
I.
2.
3.
4.
5.
DESCRIPTION
VALUE CODE
VII. INVESTMENTS and TRUSTS
NONE
0412912011
Thapar, Amul R.
Page 4 of9
D
Date or Report
Nam• or Person Reporting
FINANCIAL DISCLOSURE REPORT
-
income, va1ue, 1ransadions <Includes thou ofspouse and dependent children; m! PP· 1<1-60 offiling instrudions.J
(No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description of Assets
Income during
Gross value at end
Transactions during reponing period
reponing period
of reponing period
( including trust assets)
Place "(X)" after each asset
exempt from prior disclosure
(I)
( 2)
(I)
(2)
( I)
(2)
Amount
Code I
Type (e.g.,
Value
Value
Type (e.g.,
Date
(3)
Value
(4)
Gain
(5)
Identity of
div., rent,
Code2
Method
buy, sell,
mm/dd/yy
Code2
Code I
buyer/seller
(A-H)
or int.)
(J-P)
Code3
redemption)
(J-P)
(A-H)
I.
ING Direct Accounts
A
Interest
K
T
2.
Vanguard Prime Money Market
A
Interest
J
T
3.
TD Bank USA (Ameritrade Money Market)
A
Interest
J
T
4.
Fifth Third Bank (Checking Acct.)
A
Interest
J
T
5.
Paypal Inc. (Money Market)
A
Interest
J
T
6.
Autozone Inc. (AZO) Common
None
7.
Under Armour (UA) Common
None
J
T
8.
Nuance Comm. Inc. (NUAN) Common
None
J
T
9.
Select Comfort Corp. (SCSS) Common
IO.
Sold
12/29/10
J
Buy
08/03/10
J
None
Sold
07/26/IO
J
Volcom Inc. (VLCM) Common
None
Sold
07/26/10
J
I I.
Dreamworks Animation (DWA) Common
None
12.
Accenture Ltd (ACN) Common
Dividend
Sold
12/29/10
J
B
13.
Dawson Geophysical Co. (DWSN) Commor
None
Sold
12/29/10
J
A
14.
Hussman Strategic Growth Fund (HSGFX)
A
Dividend
Sold
12/29/10
J
15.
Lloyds TSB Group ADR (LYG)
A
Dividend
Sold
12/29/10
J
16.
Grupo Areoportuario Del Pac (PAC)
A
Dividend
Sold
12/29/IO
J
A
17.
Zumiez Inc. (ZUMZ) Common
None
Sold
12/29/IO
J
A
I. Income Gain Codes:
(Sec Columns BI and D4)
2. Yalu Codes
(Sec Columns Cl and DJ)
A
J
(Seo Column C2)
T
B =$1.001 -$2.500
c =$2.501 -$5.000
D =$5.001 - $15.000
F=$50.00l -$100.000
G =$I 00.00 I -$1.000.000
111 =St.000 .001 -$5.000.000
112 =More than $5.000.000
J =S 15.000 or less
K =SI 5.001 -$50.000
L =S50.00I - SI 00.000
N •S250.001 -$500.000
O =S500.00I
Pl •Sl.000 .001
Sl.000. 000
Q =Appraisal
R =Cost (Real Estate Only)
S ::Assessment
U
V =0thcT
W =Estimated
=
Hook Value
-
$5.000.000
M =SI 00.00 I - $250.000
P2 =$5.000.001 -$25.000.000
P4 =More than $50.000. 000
PJ =$25.000.001 -$50.000.000
3. V;:iluc Method Codes
c
A =$1.000 or less
-
(if private
transaction)
(Q-W)
T =Cash Martct
E =Sl5.00l -S50.000
Thapar, Amul R.
Page 5of9
VII. INVESTMENTS and TRUSTS
D
Date of Report
Name of Person Rrporting
FINANCIAL DISCLOSURE REPORT
04/2912011
-inc-ome, vu1ue, 1runsuc-tions r1nc-1udes those of spouse and dependent c-hirdren: see PP·
14-60 offilinc instructions.)
NONE (No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description of Assets
Income during
Gross value at end
Transactions during reporting period
reporting period
of reporting period
(including trust assets)
(I)
(2)
(I)
(2)
(I)
(2)
(3)
(4)
(5)
Place "(X)" after each asset
Amount
Type (e.g.,
Value
Value
Type (e.g.,
Date
Value
Gain
Identity of
exempt from prior disclosure
Code I
div., rent,
Code2
Method
buy, sell,
mm/dd/yy
Code2
Code I
buyer/seller
(A-H)
or int)
(J-P)
Code3
redemption)
(J-P)
(A-H)
18.
Nintendo Corporation (NTDOY) Common
19.
Marvel Corp. (MVL) Common
None
Chipotle Mexican Grill Inc. (CMG/B)
None
20.
A
Dividend
J
T
Redeemed
01/04/10
J
Dividend
Sold
12/29/10
J
A
None
Sold
12/29/10
J
c
Dividend
Sold
08/03/10
J
None
Sold
12/29/10
J
A
Sold
12/29/10
J
A
J
(if private
transaction)
(Q-W)
T
Common
21.
Columbia Sportswear Co. (COLM)
A
Common
22.
Middelby Corp. (MIDD) Common
23.
Wexford TR Muhlenkamp FD (MUHLX)
24.
Portfolio Recovery Assoc. (PRAA)
A
Common
25.
Disney Corp (DIS) Common
A
Dividend
J
T
26.
Activision Blizzard, Inc. (ATV!) Common
A
Dividend
J
T
27.
Sun Hydraulics Corp. (SNHY) Common
A
Dividend
28.
Amazon (AMZN) Common
None
J
T
Buy
12/31/10
J
29.
Labcorp Holdings (LH) Common
None
J
T
Buy
12/31/10
J
30.
Fannie Mae (FNM) Common
A
Dividend
J
T
31.
Hasboro Corp. (HAS) Common
A
Dividend
J
T
32.
Home Depot Inc. (HD) Common
A
Dividend
J
T
33.
Montpelier Re Holdings Ud (MRH)
A
Dividend
J
T
A
Dividend
J
T
Common
34.
Sanderson Farms Inc. (SAFM) Common
I. Income Gain Codes:
(Sec Columns BI
2. Vain
and
D4)
Codes
(S..c
- Columns Cl and DJ)
A =$1,000 or less
B =$1,001 -$2,500
c =$2.50t - $5,000
D=S5.00t -St5.000
F =$50.001 - $100.000
G =$100.00 I - $1.000.000
Ill =Sl.000.001 -$5.000.000
112 =More than $5.000.000
J =Sl5.000 or less
K =SI 5.001 - $50.000
L =$50.001 - SI00.000
M =SI00.001 -$250.000
N =$250.001 -$500.000
0 =$500.001 -Sl,000.000
Pl =Sl.000.001 -$5.000.000
P2 =$5.000.001 -$25.000.000
Q =Appraisal
R =Cost (Real E.stalC Only)
S ""Assessment
U =!look Value
V =Other
W =Estimated
P4 =More than $50.000. 000
P3 =$25.000.001 -$50.000.000
3. Value Mc1hod Codes
(Sc.: Column C2)
T =Cash Market
E =S 15.00 I
-
$50.000
VII. INVESTMENTS and TRUSTS
NONE
04/2912011
Thapar, Amul R.
Page 6of9
D
Date of Report
Name of Person Reporting
FINANCIAL DISCLOSURE REPORT
-
income, value, transactions <Includes those of spouse and dependent children; see PP· 14-60 offilinc instructions.)
(No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description of Assets
Income during
Gross value at end
Transacti ons during reporting period
reporting period
of reporting period
(including trust assets)
( I)
(2)
(I )
(2)
(1)
(2)
(3)
(4)
(5)
Place "(X)" after each asset
Amount
Type (e.g.,
Value
Value
Type ( e.g.,
Dale
Value
Gain
Identity of
exempt from prior disclosure
Code 1
div., rent,
Code2
Method
buy, sell,
mm/dd/yy
Code2
Code 1
buyer/seller
(A -H)
or int.)
(J-P)
Code 3
redemption)
(J-P)
(A-H)
35.
United Fire
& Casualty Company (UFCS)
A
Dividend
J
T
(if private
transaction)
(Q-W)
Common
36.
Apple Inc. (AAPL) Common
None
J
T
37.
Berkshire Hathaway Inc. Del Class B
None
K
T
(BRK.B) Common
38.
Costco Wholesale Corp. (COSD Common
A
Dividend
J
T
39.
Cryptologic Inc. (CRYP) Common
A
Dividend
J
T
40.
Exxon Mobil Corp (XOM) Common
A
Dividend
J
T
41.
Flame! Tech Spon ADR (FLML) Common
None
J
T
42.
Intel Corp. (INTC) Common
Dividend
J
T
43.
Markel Corp. (MKL) Common
None
J
T
44.
Microsoft Corp. (MSFT) Common
Dividend
J
T
45.
Buffalo Wild Wings (BWLD} Common
None
J
T
46.
CTRIP.com International (CTRP} Common
Dividend
J
T
47.
Forrnfactor Inc. (FORM) Common
None
J
T
48.
lnventiv Health Inc. (VTIV) Common
None
49.
Southwest Airlines (LUY) Common
None
J
T
Rofin-Sinar Technologies Inc. (RSTI}
None
J
T
Dividend
J
T
50.
A
A
A
Sold
04/26/10
J
Buy
04/26110
J
Common
51.
United Health Group Inc. (UNH) Common
I. Income Gain Codes:
(See Columns Bl and 04)
2. Value Codes
(Sec Colwnns CI and 03)
A
A =$1.000 or less
ll =$1.001 - $2.500
c =$2.501 - $5.000
D=$5.00l -$15.000
F =$50.001 - $100.000
G =$100.001 -$1.000.000
Ill =$1.000.001 -$5.000.000
112 =More than $5.000.000
J =S 15.000 or less
K =$15.001 -$50.000
L =$50.001 - SI00.000
M =SI00.001 -$250.000
N =$250.001 - $500.000
0 =$500.001 -SI.000. 000
Pl =Sl.000.001 -$5.000.000
P2 =$5.000.001 - $25.000.000
r.t =More than S50.000.000
P3 =$25.000.001 -$50.000.000
3. Value Method Codes
(Sec Column C2)
Q =Appraisal
R =<"ost (Real Estalc Only)
S =Assessment
U :Hook Value
v =Oth<"r
W =Estimated
T =Cash Marl.:ct
E =$15.001 -$50.000
VII. INV ESTMENTS and TRu ST s
NONE
. 04/29/2011
Thapar, Amul R.
Page 7of9
D
Date of Report
Name of Penon Reporting
FINANCIAL DISCLOSURE REPORT
-
income, •·alue, transactions (Includes thou of spouu and depmdmt children; SU pp.
34-60 offiling instructions.)
(No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description of Assets
Income during
Gross value at end
Transactions during reporting period
(including trust assets)
reporting period
of reporting period
Place "(X)" after each asset
exempt from prior disclosure
(I)
(2)
(I)
(2)
(I)
(2)
(3)
(4)
(5)
Amount
Code I
Type (e.g.,
Value
Value
Type (e.g.,
Date
Value
Gain
Identity of
div., rent,
Code2
Method
buy, sell,
mm/dd/yy
Code 2
Code I
buyer/seller
(A-H)
or int.)
(J-P)
Code 3
redemption)
(J-P)
(A-H)
(Q-W)
52.
Altria Group Inc. (MO) Common
53.
Chesapeake (CHK)
54.
Federated Investors Inc. (Fil) Common
55.
Pfizer Inc. (PFE) Common
56.
Kraft Foods Inc.
57.
Medco Health Solutions (MHS) Common
58.
Phillip Morris International (PM)
59.
60.
Dividend
J
T
None
J
T
A
Dividend
J
T
A
Dividend
J
T
A
Dividend
J
T
None
J
T
A
Dividend
J
T
McDonalds (MCD) Common
A
Dividend
J
T
National Oilwell Varco, Inc. (NOV)
A
Dividend
J
T
None
J
T
A
Dividend
J
T
A
Dividend
J
T
(KFT) Common
A
Common
61.
Nokia Corp (NOK) Common
62.
Vanguard
63.
Vanguard Windsor Portfolio
500 Index Funds
I. Income Gain Codes:
(Sec Columns BI
and D4)
2. Value Codes
(Sec Columns Cl and DJ)
A =$1.000 or less
ll =$1.00t
F =$50.001 -$100.000
G =$100.00 I - $1.000.000
•
$2.500
J. Value Mc1hod Codes
(Sec Column C2)
Please see Section VIII
c 42.501 - $5,000
D =$5,001 -$15,000
Ill =$1.000.001 -$5,000 .000
112 =More 1han $5.000.000
J =S15.000 or IC'Ss
K =St5.00I -$50.000
L =$50.001 - $100.000
M =$100.00 1 -$250.000
N =$250.001 - $500.000
0 =$500.001 -$1.000.000
r1 =s1.ooo.001 -S5.ooo.ooo
P2 =$5.000.001 -$25.000.000
r =More lhan $50.000, 000
rJ =S25.ooo.001 -S5o.ooo.ooo
Q =Appraisal
){ =CoSI )Kcal ls1a1c Only)
S =Assessment
U =Book Value
v =Oth1..'f
W =Estimated
(if private
transaction)
T =Cash Market
E =$15.001 -$50.000
FINANCIAL DISCLOSURE REPORT
Page 8of9
Name of Penon Reporting
04/2912011
Thapar, Amul R.
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.
The Vanguard Windsor Fund is part of a 529. We invest monthly
Date of Report
(lndicatepartofreport.)
I was not sure how to reflect this on the
statement. Also, we opened these in late 2008 and they became reportable in 2009 but I believe they were mistakenly Jell off my 2009 Report.
,
,
FINANCIAL DISCLOSURE REPORT
Name of Penon Reporting
Thapar, Amul R.
Page 9 of9
Date of Report
04/29/2011
IX. CERTIFICATION.
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 Judicial Conference regulations.
Signature:
s/ Amul R. Thapar
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL
AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)
Committee on Financial Disclosure
Administrative Office of the United States Courts
Suite 2-301
One Columbus Circle, N.E.
Washington, D.C. 20544