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FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. §§ 101-111)

I. Person Reporting (last name, first, middle initial)

Gmender, Raymond W.

  • 4. Title (Article III judges indicate active or senior status;

magistrate judges indicate full- or part-time)

U.S. Circuit Judge - Active

  • 7. Chambers or Office Address

I I I South Tenth Street Suite 23.365 St. Louis, MO 63102

2. Court or Organization

Eighth Circuit Court of Appeal

5a. Report Type (check appropriate type)

]

Nomination,

Date

[] Initial

[] Annual

[] Final

5b. [] Amended Report

  • 3. Date of Report

04/05/201 I

  • 6. Reporting Period

01/01/2010

to

12/31/2010

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.

Re,.~ewing Officer

Date

IMPORTANT NOTES: The instructions accompanying this form must be followea[ Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.

I. POSITIONS. (Reporting individual only; see pp. 9-I3 of filing instructions.)

NONE (No reportable positions.)

1. Advisor

POSITION

NAME OF ORGANIZATION/ENTITY

W.R. Persons Charitable Trust (advise on charities to receive funding; no control over investment assets)

2.

Board of Directors

Variety Club of St. Louis (no control over investment assets)

3.

National Council

Washington University School of Law (no control over investment assets)

4.

Board of Trustees

William Woods University (no control over investment assets)

5.

II. AGREEMENTS. ~Rcporting individual only; seepp. 14-16 of filing instructions.)

[~

NONE (No reportable agreements.)

DATE

PARTIES AND TERMS

Gruender, Raymond W.

FINANCIAL DISCLOSURE REPORT

Page 2 of 8

Name of Person Reporting

Gruender, Raymond W.

Date of Report

04/05/2011

III. NON-INVESTMENT INCOME. <Repo.i.g +dividuul undspouse; soepp. !Z-24 oflrll.g instructions.) A. Filer’s Non=Investment Income

~]

NONE (No reportable DATE

non-investment income.)

SOURCE AND TYPE

INCOME (yours, not spouse’s)

2.

3.

4.

B. S p o u s e’

s N o n - I n v e s t m e n t I n c o m e - tf +,ou were married during any portion of the reporting )’ear, complete this sectlon.

 

(Dollar amount not required except for honoraria.)

 

D

NONE (No reportable non-investment income.) DATE

SOURCE AND TYPE

I. 2010

Sel f-employed benefils consultant

 

2.

3.

4.

IV. REIMBURSEMENTS - transportation, lodging, food, entertainment.

 

(Includes those to spouse and dependent children: see pp. 25-27 of filing instructions.)

 

[~

NONE (No reportable reimbursements.)

SOURCE

DATES

LOCATION

PURPOSE

ITEMS PAID OR PROVIDED

2.

3.

4.

FINANCIAL DISCLOSURE REPORT Page 3 of 8

Name of Person Reporting

Date of Report

Gruender, Raymond W.

04/05/201 I

V. GIFTS. (Includes thosc to spouse and depcndent children; see pp. 28-31of filing instruc~ions.)

  • D NONE (No reportable gifts.)

 

SOURCE

DESCRIPTION

VALUE

1.

Bernice Houlihan

Cash Gift

$ 1,000.00

2.

3.

4.

5.

VI. LIABILITIES. ancluaes ,hose oy~pou~ ond deponac., children; see pp. 32-33 of filing instructionsO

 
 

NONE (No reportable liabilities.)

CREDITOR

DESCRIPTION

VALUECODE

I.

2.

3.

4.

5.

FINANCIAL DISCLOSURE REPORT Page 4 of 8

Name of Person Reporting

I

Gruender, Raymond W.

Date of Report

04/05/201 I

VII. INVESTMENTS and TRUSTS - inc .....

..

i.e,

transactions (Includes those of sp ......

d dependent children; seepp. 34-60 of filing instructions.)

NONE (No reportable income, assets, or transactions.)

 

Description of Assets

Income during

Gross value at end

 

(including trust assets)

reporting period

of reporting period

 

O)

(2)

O)

(2)

O)

 

Place "iX)" after e~ch asset

Amount

Type (e.g.,

Value

Value

Type (e.g.,

exempt from prior disclosure

Code I

div., rent,

Code 2

Method

buy, sell,

 

(A-H)

or int.)

(J-P)

Code 3

redemption)

 

(Q-W)

I.

UMB Bank (checking accounts)

A

Interest

L

T

  • 2. Bank of America common stock

A

Dividend

J

T

  • 3. Citigroup common stock

 

None

J

T

  • 4. Exxon Mobil common stock

 

A

Dividend

J

T

  • 5. General Electric common stock

A

Dividend

J

T

  • 6. Goldman Sachs common stock

A

Dividend

K

T

  • 7. Macy’s Inc. common stock

 

A

Dividend

J

T

  • 8. Microsoft common stock

A

Dividend

J

T

  • 9. Newscorp LTD common stock

A

Dividend

J

T

  • 10. Oracle common stock

 

A

Dividend

J

T

I I. Proctor & Gamble common stock

A

Dividend

J

T

  • 12. UnitedHealth Group common stock

Dividend

J

T

  • 13. Vertex Pharmaceuticals common stock

None

J

T

  • 14. Scottrademoneymarket-US Bank, NA

A

Interest

K

T

  • 15. IRA -- Scottrade

 

A

Dividend

M

T

  • 16. --Invesco Large Cap Growth Fund f/k/a AIM Large Cap Gth Fnd

 
  • 17. --Invesco Technology Fund f/k/a AIM Technology Fund

 

I.

Income Gain Codes:

A =$ 1,00~ or less

B -$1.001 - $2.500

C =$2.501 - $5.0~0

(see Columns B I and D4)

F =$50.001 - $10O.0~)

G =$100.0~1 - $1,0~0.000

HI =$1.000,001 - $5.00~.000

  • 2. J -$15.000 or less

Value Codes

(S~e Columns CI and D3)

 

K =$15.1)01 - $50.000

L -$50,001 - $100.0~0

N =$250.001 - $500.000

O =$500.001 - $ I,O00.000

P I =$1,000.001 - $5.000.000

 

P3 =$25,000.0~1 - $50.000.000

Value Method Codes (See Column C2)

  • 3. Q =Appraisal U =Book Value

R =Cosl (Real Estate Only)

V

=Other

P4 =More than $50,000,000 S =Assessment W =Estimated

Transactions during reporting period

(2)

(3)

(4)

(5)

Date

Value

Gain

Identity of

maddd/yy

Code 2

Code I

buyer/seller

(J-P)

(A-H)

(if private

 

transaction)

D -$5,001 - $15.0~0 H2 =More than $5,000.000

E =$15.001 -

M =$100,0~1 - $250,000 P2 =$5,0~0,001 - $25,000.000

T =Cash Market

FINANCIAL DISCLOSURE REPORT Page 5 of 8

Name of Person Reporting

Date of Reporl

Gruender, Raymond \V.

04/05/201 I

VII. INVESTMENTS and TRUSTS - inco ....

,atue, era

.... tions (Include, 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 "IX)" after each asset

exempt from prior disclosure

  • 18. -AIM Small Cap Growth Fund

  • 19. -Fidelity Advisor Growth Opportunities

  • 20. --GAMCOGIobalGrowth Fund

  • 21. -GabelliValue Fund

  • 22. --Janus Enterprise Fund

  • 23. --Janus Research Fund

Income during

reporting period

O)

(2)

Amount

Code I

Type (e.g.,

div., rent,

(A-H)

or int.)

Gross value at end

of reporting period

(D

(2)

Value

Value

Code 2

(J-P)

Method

Code 3

(Q-W)

Type ( .g.,

buy, sell,

redemption)

Transactions during reporting period

(2)

Date

mm/dd/yy

(3)

Value

Code 2

(J-P)

(4)

Gain

Code I

(A-H)

(5)

Identity of

buyer/seller

(if private

transaction)

  • 24. --MFS Growth Fund

  • 25. --MFS Massachusetts lnvestorsGrowth Stock Fund

  • 26. --Putnam International Equity Fund

  • 27. --Putnam Multi-Cap Growth Fund f/k/a New Opportunities Fund

  • 28. --T. Rowe Price Blue Chip Growth Fund

  • 29. --T. Rowe Price Science and Technology Fund

  • 30. --American Funds; Small Cap World Fund

  • 31. --Scottrade Money Market -- U.S. Bank

  • 32. Towers-Pen-in 401(k) Savings Plan (Mix D, indep, managed)

None

M

T

  • 33. Aon Savings Plan

A

Dividend

M

T

  • 34. --Dodge& Cox Stock Fund

I. Income Gain Codes:

(See Columns B I and I)4) 2. Value Codcs (Scc Columns CI and D3)

3. Value Mclhod Codes IScc Column C2)

A =$1.0~0 or Icss

F =$50.0’01 - $10~.000

J = $15.0~0 or

los s

N =$250.001 - $500,00~ P3 =$25,000.0OI - $50.00).000 Q =Apprai,,al U =Book Value

B =$1,001 - $2,500

G =$100.001 - $1.0(~.0~) K = $15.001 - $ 50.000 O $500.001 - $1,000,0~0

R -Cost (Real Eslale Only) V =Other

C =$2,501 - $5,000 HI =$1,~00.001 - $5.009.000

L -$ 50,001 - $100,0~0 p I =$1,000,001 . $5.000,000

P4 =More than $50,000,0(~ S =Assessment W =Estimated

D =$5,001 - $15,000 H2 =More than $5,000.000

E =$15,0~1 - $50,000

M = $ 100,001 - $ 250.0~0 p2 -$5,000,001 - $25.04~,000

T =Cash Markcl

FINANCIAL DISCLOSURE REPORT Page 6 of 8

Name of Person Reporting

Dale of Report

Gruender, Raymond W.

04/0512011

VII. INVESTMENTS and TRUSTS - income, ,’alue, I ......

lions (Includes those of spouse and dependent children; see pp. 34-60 of fillng inslructions.)

NONE (No reportable income, assets, or transactions.)

 

Description of Assets

 

Income during

Gross value at end

 

(including trust assets)

reporting period

of reporting period

 

(0

(2)

(t)

(2)

0)

 

Place "(X)" after each asset

Amount

Type (e.g.,

Value

Value

Type (e.g.,

exempt from prior disclosure

Code I

div., rent,

Code 2

Method

buy, serf,

 

(A-H)

or int.)

(J-P)

Code 3

redemption)

 

(Q-W)

35.

--Wellington Sm. Cap Portfolio

 

36.

--Aon Common Stock

37.

--Vanguard Capital Opportunities

 

38.

--American Funds- EuroPacific Growth

39.

--SSgA S&P 500 Index Strategy

40.

--NDR Asset Allocation Strategy

41.

lrrevocableTrust u/a 11/17/03

 

D

Dividend

42.

--Vanguard Tax Exampt Money Market

 

Buy

43.

--Vanguard Intermediate Term Tax Exempt Fund

Sold

44.

I. Income Gain Codes:

A =$1,000 or less

 

B =$1,001 - $2,500

 

C -$2.501 - $5,000

 

(See Columns BI and D4)

F =$50,001 - $100.000

G =$100,001 - $1,000,009

HI =$1.000,001 - $5.000.000

2.

Value Codas.

J

= $15,000 or less

K -$ I 5,001 - $50,000

L -$50,001 - $ 100.000

(See Columns CI and D3)

N -$250.001 - $500,000

 

O =$500,001 - $1.0OO,000

PI =$1,000,001 - $5,000,000

 

P3 $25,000.001-$50,090,000

 

p4 - More than $50,000.0OO

3.

Value Mclhod Cod~

Q =Apprai,s.al

 

R =Cost (Real Estate Only)

S =As~:ssment

(See Column C2)

U =Book Value

V

-Olher

W =Estimated

Transactions during reporting period

(2)

(3)

(4)

Date

Value

Gain

mm/dd/yy

Code 2

Code I

(J-P)

(A-H)

(5)

Identity of

buyer/seller

(if private

transaction)

I0/I 1/10 N

10/I 1/10 N

C

D

=$5.001 - $15,000

E =$15,001 - $50.000

H2 =More than

M

=$100.0~1 - $250.000

P2 :$5,00~,0(11 - $25,00~.0~0

 

T -Cash Market

FINANCIAL DISCLOSURE REPORT Page 7 of 8

Name of Person Reporting

Date of Report

Gruender, Raymond W.

04/05/201 I

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

FINANCIAL DISCLOSURE REPORT Page 8 of 8

Name of Person Reporting

Date of Report

Gruender, Raymond \V.

04/05/201 I

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 ~vithheld because it met applicable statutory

provisions permitting non-dlsclosure.

  • 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] Raymond W. Gruender

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