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1. Person Reporting (last name, first, middle initial) Dow, Jr., Robert M.
4. Title (Article 111 judges indicate active or senior status; magistrate judges indicate full- or part-time)
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)
[] lnilial
5b. [] Amended Report 7. Chambers or Office Address 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date
E.M. Dirksen U.S. Courthouse 219 South Dearbom Street, Suite 1978 Chicago, IL 60604
IMPORTANT NOTES: The instructions accompanying this fortn tnust be followed. Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
I. POSITIONS. rRe, o,ing i.divld.ut o.V; see pp. 9-, oI ~ti.g instructions.)
~] NONE (No reportabIe positions.) POSITION
NAME OF ORGANIZATION/ENTITY
2. 3. 4. 5.
IlL NON-INVESTMENT INCOME. ~Rcpo~ing i.dividual and spouse; see pp. 17-24off!linginstructionsO
A. Fliers Non-lnvestment Income
~ NONE (No reportable non-investment income.) DATE SOURCE AND TYPE
2. 3. 4.
B. Spouses Non-Investment Income - tf yoa were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
2. 3. 4.
PURPOSE
CLE program on international arbitration; served as moot court judge
3. 4. 5.
V. GIFT S. anctudes those to spouse a.d depe.dent children; see pp. 28-31 of Jiling instructions.)
~
[
1. 2. 3.
VALUE
4. 5.
VI. LIABILITIES. anetudes those of spouse and dependent children; see pp. 32-33 of filing instructions.)
D
1. 2. 3. 4. 5.
CREDITOR
Chase Bank Target credit card credit card
DESCRIPTION
VALUE CODE
K J
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of f!llng instructions.)
~ NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (1) Amount Code 1 (A-H) (2) Type (e.g., div.. rent. or int.) C. Gross value at end of reporting period (1) (2) Value Value Code 2 (J-P) Method Code 3 Transactions during reporting period
(1)
Type (e.g., buy, sell, redemption)
(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (J-P) (A-H)
(s)
Identity of buyer/seller (if private transaction)
(Q-W)
1.
2.
A
A
Interest
Interest
J
J
T
T
Prudential Individual Retirement Annuity -- AST Academic Strategies Asset Allocation None M T Sold (part) Buy (addl) Sold (part) Buy (addl) Buy (addl) -- AST First Trust Cap Appr Target Portfolio None O T Sold (part) Buy (addl) Sold (part) Buy (addl) Buy (addl) -- AST Bond Portfolio 2020 (X) None K T Buy Sold (part) Buy (addl) Sold (part) 05/20/10 06/17/10 06/29110 07115/10 09/20/10 05/20/10 06/17/10 06/29/10 07/15/10 09/20/10 05/20/10 06/17/10 06/29/10 07/15110 K K K K L M L M L L M L M L
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes ISec Columns CI and D3) 3. Value Method Codes ISce Colunm C2)
A =$1,000 or less F ~$50,001 - $100,000 J =$15.000 or less N =$250.001 o $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G = $ 100.001 - $1,000,000 K :$1S,00t - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$1,000,001 - $5,000,000 L =$50,001 - $100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M -$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001 - $50,000
VII. INVESTMEN TS and TRUSTS - income, va~ue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
~-] NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value at end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3 Transactions during reporting period
(t)
Amount Code l (A-H)
(2)
Type (e.g., div., rent, or int.)
(l)
Type (e.g., buy, sell,
(2)
Date mm/dd/yy
(3)
Value Code 2
redemption)
(J-P)
(Q-W)
18. 19. 20. 121. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. Harris Bank accounts GCG Mutual Fund -- American Funds Euro Pacific Growth -- American Funds Fundamental Investors -- American Funds Small Cap World Fund -- American Funds Bond Fund of America -- American Funds Growth Fund of America GCG 529 Fund #1 -- EuroPacific Growth Fund 529A -- American Funds New Economy Fund GCG 529 Fund #2 -- American Funds Capital World G/I 529A -- American Funds Growth Fund of America 529A GCG 529 Fund #3 -- New Perspective Fund 529A -- American Funds Fundamental Investors 529A A A Dividend Dividend J J T T A A Dividend Dividend J J T T A A Dividend Dividend J J T T A A A A A Dividend Dividend Dividend Dividend Dividend J J J J
J
Sold (part)
A Interest
09/20/10 M
T T T T T
I. Income Gain Codes: (See Columns B I and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes {See Column C2)
A =$1,000 or less F =$50,001 - $ 100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25.01)0,001 - $50.000.000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$ 100,001 - $1,000,000 K =$15,001 - $50.000 O =$500,00t - $1,000,000 R =Cost (Real Estate Only) V =Olher
C =$2.501 - $5,000 H 1 =$1,000,001 - $5,000,000 L $50,001-$100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$ I00,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,O01 - $S0,000
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)
NOblE (No reportable income, assets, or transactions.) Description of Assets (including trust assets) Place "(x)" after each asset exempt from prior disclosure Income during repomng period (l) (2) Amount Type (e.g., Code 1 div., rent,
(A-H) or int.)
Gross value at end of reporting period (t) (2) Value Value Code 2 Method Code 3 (J-P) (Q-W)
Transactions during reporting period (l) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code
(J-P) (A-H)
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50, 51.
GCGFund#4 -- American Funds SmallCap World Fund 529A -- American Funds Capital Income Builder 529A PodestaHSA Account -- I Shares Dow Jones Select Dividend Index A Fund -- 1 Shares TR S&P 500 lndex Fund First Community Bank Common Stock Sauk Valley Community Bank Common Stock MSJI, Inc. Common Stock Minnesota Life: Variable Adjustable Life Insurance[~ Travelers: Variable Life Policy Northwestern Mutual Life Policy[~ MetLife: Universal Life Policy Buffalo Jayhawk China Fund Buffalo Intemational Fund[[~ Buffalo Balanced Fund A A A A A A A A Dividend Dividend
None
A A
Dividend Dividend
J
J
J K J J J J J K K
T T T T
T T
J J J
I. Income Gain Codes: (See Columns B I and D4) 2. Value Codes (See Columns Cl and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50,001 o $ 100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1.001 - $2,500 G =$100,001 - $1,000,000 K =$15,001 - $50,000 O ~$500,00t . $1,O00,0Ol) R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H I =$ 1,000,001 - $5,000,000 L =$50,001 - $ 100,000 PI =$1,000.00| - $5,000,000 p4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15.000 H2 =More than $5,000,000 M =$ 100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T -Cash Market
E =$15,001- $50,000
VII. INVESTMENTS and TRU S TS - income, va~ae, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
[~ NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (1) (2) Amoun! Type (e.g., Code 1 div., rent, (A-H) or int.) C. Gross value at end of reporting period (l) Value Code 2 (J-P) (2) Value Method Code 3 Transactions during reporting period
(2)
Type (e.g., buy, sell, redemption) Date mm/dd/yy
(3)
Value Code 2 (J-P)
(4)
Gain Code I (A-H)
(5)
Identity of buyer/seller (if private transaction)
(Q-W)
52. 53. 54. 55. 56. 57. 58. 59. 60. Northern Inst Tax-Exempt None Buffalo Small Cap Fund Buffalo Science & Technology Fund Buffalo Large Cap Fund Buffalo USA Growth Fund A A None None Dividend Dividend K K K K T T T T Buy (addl) Buy (addl) Buy (addq) Buy (addl) 12/20/10 12/20/10 12/20/10 12/20/10 J J J J Buy (addl) Buy (addl) Buy (addl) 06/24/10 09/20/10 12/20/10
J J J
1. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
=$1,000 or less =$50,0~1 - $100,000 ~$15.000 or less =$250,001 - $500,000 P3 =$25.000.001 - $50,001).000 =Appraisal =Book Value
B =$1,001 - $2,500 O =$100,O01 - $1,000.000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 HI =$1,000,00t - $5,000,000 L =$50,001 - $100,000 P I =$ 1,000,001 - $5,000,000 P4 =More than $50,000,000 S -Assessment W =Estimated
D =$5,001 - $15,000 1t2 =More than $5,000,000 M =$ 100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001 - $50.000
IX. CERTIFICATION.
1 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. 1 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.
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544