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