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Judicial Watch • Thomas M Rose Financial Disclosure Report for 2004

Thomas M Rose Financial Disclosure Report for 2004

Thomas M Rose Financial Disclosure Report for 2004

Page 1: Thomas M Rose Financial Disclosure Report for 2004

Category:Financial Disclosure

Number of Pages:15

Date Created:December 13, 2005

Date Uploaded to the Library:November 13, 2013

Tags:Xenia, Magellan, Compensation, Thomas M Rose, Investors, Company, Deferred, Employees, Putnam, Janus, program, Property, funds, Fidelity, Growth, 2004, investment, EPA, dividend, IRS, Financial Disclosure, ICE, CIA, Judge

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Judge Mary Lisi, Chair Judicial Committee the United States Committee Financial Disclosure One Columbus Circle, N.E. Washington D.C. 20544 
Dear Judge Lisi: 
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July 21, 2005 
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r'1 will attempt respond first the issues raised concerning the mutual fund accounts in: paragraphs and your letter and then the "rental property #1, Xenia, Ohio" issue raised paragraph your letter.  the references mutual funds, ''Fidelity Magellan" and "Fidelity Growth" which were listed previous 2003 report but were. listed Part VII, page lines and 2004 report, these funds were designated the Ohio Public Employees Deferred Compensation Program replace mutual funds, "Putnam Investor" and "Janus Fund" which 
listed Part VII, page line and page line previo:us 2003 report but not listed most recent 2004 report. you can see from the attachments to'tt;rls l_(Attachments and #2) the Ohio Public Employees Deferred Compensation Program required .that investments ''Putnam Investors" and "Janus Fund" transferred other funds ''Fidelity Magellan" and ''Fidelity Growth Company" for reasons contained theit eommqnication December 2003 (Attachment Pursuant that communication requiring this transfer and/or exchange, exchanged funds ''Putnam Investors" and "Janus Fund" "Fidelity Magellan" and 
"'Fidelity Growth Company" follows:  
Janus Fund  Growth  
-shares@$24.26  @$51.87 $25,226.81  $25,226.81  

Putnam Investors 
$20,121.19 $20,121.19 confirmed Attachment #2, this transfer was made January 12, 2004 and resulted funds with the exact monetary value the previously held funds. These funds (''Janus, and ''Putnam Investors" reported 2003 well "Fidelity Growth Company'' and ''Fidelity Mangellan" reported 2004) were within the gross value code the end the respective reporting periods. 
Except for the few days prior the transfer funds January 12, 2004, funds previously held Janus and Putnam Investors were held throughout 2004 ''Fidelity Growth Company'' and "Fidelity Magellan". the "rental property# Xenia, Ohio" that have listed Part VII 2004 report and all previous reports since taking the bench 2002, have realized error part. The rental property not and never has been name. This property owned cquired the property 1972 (Attachment #3) and-.obtained full interest upon 1972 (Attachment #4). name_has never appeared oi:t any document title and have interest this property other than name appearing mortgage the property several years ago. ave mistakenly included this property reports and only realized error preparation this letter. Therefore, response your inquiry concerning this property included Part VII report, this property should deleted.  
Hopefully, these responses will allow the 2004 report. Ifnot, please don't hesitate contact and will make very attempt st. FERRE ENS GRAM 
December 2003  
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Dear Participant reported our last newsletter, accusations market timing and late trading abuses have been rnade against many mutual fund management firms. date, several mutual fund 
management firms used the Program are being investigated including Banc One. Janus, Putnam and PBHG. However, the best our knowledge, only one the funds offered the Program portfolio, PBHG Growth, has been named the ongoing investigations. 
The Ohio Public Employees Deferred Compensation Board understands that monitoring and offering sound investment options are important responsibilities. The Board has had written investment policies for years, which require the regular review all investment options. While the Board seeks the expert advice outside investment consultants analyze the  performance mutual funds and recommend keeping replacing funds, the Board ultimately-' has the responsibility for making all decisions the best interest our participants. 
fund the mutual fund management firms based upon ac;:cusations alone, our investment consultant. Ennis Knupp, was directed update their research each mutual fund management firm currently under investigation. The consultant's recommendations take into consideration short and long-term fund performance. changes portfolio and organizational management, changes investment strategy portfolio characteristics. and overall management research rating. 
Rather than take any impulsive actions regarding any
Based upon our consuitanfs analysis and reromendation. Banc One will continue one the Guaranteed Return Option (GRO) managers. However, the Board has .voted change the availability the following funds offered through the Program: PBHG Growth, Putnam Investors, Janus Twenty, and the Janus Fund. Our rec:Ords indicate that you have investment balance may deferring into one more these funds. 
You will have until 4:00 p.m. February 25, 2004 move any existing balances out the PBHG Putnam Investors funds and stop deferrals the Putnam Investors, Janus Fund and Janus Twenty funds. you not take any action, your investment balance and/or deferral allocation will automatically moved according our consultant's recommendations. Our consultant has identified replacement fund for. each the affected investments above. Each replacement fund represents similar investment style and objective the correspon.ding closed fund. The identified replacement funds are shown the chart the next page. 
(continued back) 
PHONE: 1-877-644-6457 
Closed Fund PBHG Growth Putnam Investors Janus Twenty Janus Fund 
Balance Exchange 

Deferral Change 

Yes Yes Yes 
Replacement Fund 
Vanguard Capital Opportunity 

Fidelity Magellan Fidelity Growth Company Fidelity Growth Company obtain current prospecti.ts, contact the Service Center log-on the Program web site. 
The Progam still offers excellent variety funds. You are encouraged take this 

opportunity re-evaluate your asset allocation and after researching the Program's investment options, create qiverse investment portfolio designed match your time horizon and risk tolerance. 
You can assured that the Board will continue monitor the status the investigations, remain diligent its review the mutual fund management firms, and will act the best interest Program participants. Updates will posted the web site and future newsletters effort keep all participants informed. addition checking the Internet for updates, you may want research this topic financial newspapers and magazines. 
You have several options available for making changes your account. 
Call our Service Center 
 Press option speak with Account 
Visit our Service Center 
We look forward assisting you. 
Sincerely, Keith Overly 
Executive Director 

January 12, 2004 
RE: Investment Exchange 
RefenmceNumber: -.... .,q. Dear Mr. Rose: accordance with your recent request, the following investment exchange Deferred Compensation 
Plan funds was executed. January 12, 2004 your .behalf:  
$25,226.81  JANUS FUND  $25.226.81 FID GROWTII COMPANY  

SHARES AT.. $51. 87000000 
$20,121.19 $20,121.19 FID MAGELLAN 
SHARES AT. $11. 40000000 SHARES . ... $98. 99000000 

Thank you for your continued participation the Ohio Deferred Compensation Program.  you liave any questions t:p.e plan general, please call one our Account Executives toll-free  
The Ohio Public Employees Deferred Compensation Program 

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View your account information, make changes, .enter transactions our website418fllUB 
FORM 62s onro QUIT CLAIM nEED-Short; Form. VOL JJa rXrit: fiU2. 
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single consideration One Do11ar and other good and valuable consideration him hand paid single 
does hereby  bast anh 3lfJtMttr C()utt C!tlabn the said 
heirs and assip,s forever, the followin des.cribed lttal ate. situate the city Xenia the County Greene and State Ohio: shown the recorded piat thereof, and all. easements and restrictions record  
P:i.ior Deed Reference: Vol.ume Page 
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e tax mailing address the following described real property 
Situate the City Xenia County Greeneand State Ohio, and bounded and described follows: shown the x:r:ti -.arecorded plat thereof, and subjec 
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-0::o::io :::c:CITI c::::c; survey this property was made 111 --.I 
Subject the installments taxes and  payable December 1972, and thereafter, whichthe grantees herein assume and agree pay, an-building set back lines, easements and restrictions o:t
 V:: -  ,>,.;;Prior instrument reference: Volume Page 
WITNESS our hands, thisft'ay of June . 
STATE OHIO Before me, Notary Public, and for said County, per-:COUNTY MIAMI sonally appeared the above namedMID-CONTINENT PROPERTIES, INC. 
ExecutiveBy Edwin Barnes its /Vice President and Frederick Freed its Assistant Secretary 
who acknowledged that they did sign the foregoing instrument and that the same the free act and deed said corporation, and the free actand deed each them personally and ;,ts #uch ofice.J=. 
set official seal TESIMONY 
1'.bia was br. 
have hereunto 
 CQamllssioa Expires Dec. 14' 1973 

Gronlar ccmplled with Secllatt 319,202 lhl llwis..t Cod.,
jfl+.r2iffu7'2Ument prepared Richard Gaier (Gaier,  Rtco1'lll  DOROJHY SHAW, Gre2ne County Aullitot 

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FOR CALENDAR YEAR 2004 U.S.C. app.  101-111) Person Reporting (Last name, First name, Middle initial) Rose, Thomas Court Organization U.S. District Ct., S.D. Ohio Title (Article Judges indicate active senior status; magistrate judges indicate full-or part-time) U.S. District Judge (active) ReportType (check appropriate type) Nomination, Date Initial @Annual Final Date Report 4/27/2005 Reporting Period 	1/112004 
12/3112004 Chambers Office Address the basis the infmmation contained this Report and any modifications pertaining thereto, is, opinion, compliance 
200 West Second Street with applicable Jaws and regulations. 
9th Floor, Federal Building Reviewing Officer Dayton, 45402 NOTES: .The instructiol1S accompanying this form 1lUISt followed. Gomplete all parts, checking the NONE box for each part 
havenoortableinformaiion: onlast.,.   POSmON  	NAME 
Partner 	Wiggins Rose Stables L.L.P. Partner 	Rose Stables 
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