John Joseph Tharp jr
2015Annual
Ask Donna
Pull out the substance of this filing.
What was filed
252
investments
1
positions
0
gifts
1
agreements
3
debts
2
reimbursements
0
income
1
spouse income
Named parties
- Trust £1 (family trust; no reportable assets because did not create the trust and have no beneficial interest in the trust)
- United Pacific Life
- United Pacific Lite
- JP Morgan Chase
- Federal Judicial Center
- Administrative Ofice of the United States Courts
- Janus & Associates, salary
As filed
AT&T (common stock) — Int/Div — Sold (part)
Bright Start 529 Plan Blended Age Based 18 Yeurs (Y)
CenterPoint Energy (common stock) — Int/Div — Sold
Chemours (X) — Int/Div — Sold (part)
Coca-Cola (common stock) (Y)
DuPont (common stock) — Int/Div
General Electric (common stock) — Int/Div
Harley-Davidson {common stock) (Y)
Hershey Foods (common stock) (Y)
Home Depot (common stock) (Y)
IBM (common stock) — Int/Div — Sold (part)
JP Morgan Chase Bank Accounts — Interest
Memill Lynch Bank Deposit Program — Interest
Northwestern Mutual Insurance Policies (Whole Life) — Int/Div
NRG Energy (common stock) — Int/Div — Sold
Pfizer (common stock) — Int/Div
United Pacific Life Ins. (Universal Life; no control) (nka Genworth) — Int/Div
U.S. Savings Bonds — None
Vanguard Dividend Growth Fund — Int/Div
Vanguard Energy Fund — Int/Div
Vanguard Information Tech ETF — Int/Div
Vanguard International Value Fund — Int/Div
Vanguard Long-Term Tax Exempt Bond Fund — Int/Div
Vanguard S&P 500 Index Fund — Int/Div
Walgreen's Boots Alliance Inc. (common stock (Y)
Wal-Mart (common stock) (Y)
Walt Disney (common stock) (Y)
IRA #1 (H)
Vanguard Total International Stock Index Fund — Int/Div
Vanguard Total Stock Market Index Fund — Int/Div
Vanguard Total Bond Market Index Fund — Int/Div
IRA #2 (H)
Vanguard Total International Stock Index Fund — Int/Div
Vanguard Total Stock Market Index Fund — Int/Div
Vanguard Total Bond Market Index Fund — Int/Div
IRA #3 (H)
Fidelity Magellan Fund — Int/Div
IRA #4 (H)
Vanguard S00 Index Fund — Int/Div
IRA 45(H)
CIVIX - MFO Causeway Cap Mgmt Tr Intl Value FD last! C1 — Int/Div
DFCEX - MFO DFA Invt. Dimensions Group Inc Emerging Mkts — Int/Div
DFEVX - MFO DFA Emerging Markets Value — Int/Div
DFITX « MFO DFA Invt Dimensions Group Inc Intl Real Estate — Int/Div
DFREX « MFO DFA Invt Dimensions Group Inc. Real Estate — Int/Div
DVY - MFC IShares TR Dow Jones Select Divid Index Fund — Int/Div
GUNR - MFC Flexshares TR Momingstar Global Upstream NRIF — Int/Div
HLMIX - MFO Harding Loevner FDS Inc. Intl Equity Portfolio — Int/Div
NMFIX MFB Northern Multimanager — Int/Div
NOMIX « MFB Northern Mid Cap Index Fund — Int/Div
NORXX - MFB Northern Funds Money Market Fund — Interest
NOSIX - MFB Northern Funds Stock Index Fund — Int/Div
NSIDX - MFB Northern Funds Small Cap Index Fund — Int/Div — Buy (add'l)
PHIYX - MFO Pimco Funds Pac Invt Mgmt Ser HY Instl CL — Int/Div — Buy (add'l)
TDTF - MFC Flexshares Tr IBOXX 5 Yr Tgt Duration TIPS Indx — Int/Div
IRA #6 (H)
Fidelity Blue Chip Growth — Int/Div
Fidelity Independence — Int/Div
IRA £7 (H)
Fidelity Independence — Int/Div
IRA ES (HY)
Vanguard Total Stock Mkt Index Fund (Y)
Trust £1 (HY)
Trust £2 (MH)
Allstate (common) — Int/Div
American Electric Power (common) — Int/Div
Anadarko Petroleum (common) — Int/Div
AT&T (common) — Int/Div
Blackrock Global Allocation ( — Int/Div
BP Amoco (ADR) — Int/Div
Chemours — Int/Div
Conoco Phillips (common) — Int/Div
Dow Chemical (common) — Int/Div
Duke Energy (common) — Int/Div
DuPont (common) — Int/Div
Exelon (common) — Int/Div
Exxon (common) — Int/Div
Fortune Brands Home & Security (common) — Int/Div
Hershey (common) — Int/Div
ISHARES Russell Mid Cap ETF — Int/Div — Buy
ISHARES S&P Growth ETF (IVW) — Int/Div
Ivy Asset Strategy — Int/Div
JP Morgan Chase Cash Accounts — Int/Div
JP Morgan Tr US Small Co. C1 C — Int/Div
JP Morgan Tr Dynamic Growth — Int/Div
Lincoln National Group (common) — Int/Div
Merck (common) — Int/Div
Monsanto (common) — Int/Div
Pfizer (common) — Int/Div
Phillips 66 (common) — Int/Div
Spectra Energy (common) — Int/Div
Sterling Cap FDS Mid Value FD {OVECX) — Int/Div
Walgreen's Boots Alliance (common) — Int/Div
Trust #3 (H)
3M (common) — Int/Div
Allstate (common) — Int/Div
Bank of America (common) — Int/Div
Dow Chemical (common) — Int/Div
Exelon (common) — Int/Div
Exxon (common) — Int/Div
IBM (common) — Int/Div
JP Morgan Chase (common) — Int/Div
JP Morgan Chase Cash Account — Int/Div
Lincoln National Corp. (common) — Int/Div
Pfizer (common) — Int/Div
Sherwin Willams (common) — Int/Div
Trust #4 (H)
3-M (common) — Int/Div
Exxon Mobil (common) — Int/Div
McDonald's (common) — Int/Div
JP Morgan Chase Cash Account — Int/Div
Trust #5 (H)
JP Morgan Chase Cash Account — Interest
25% of Moles Family Partnership (H)
NOTEX-Northern Funds Tax Exept Fund — Int/Div
NSIDX-Northern Funds Sall Cap Index Fund — Int/Div
NOSIX-Northern Funds Stock Index Fund — Int/Div
NOMIX-Northern Mid Cap Index Fund — Int/Div
TDTF-Flexshares TR IBOXX 5 yr Tet TIPS Index Fd — Int/Div
DVY-IShares Tr Dow Jones Select Divid Index Fd — Int/Div
GUNR-Flexshares TR Morningstar Global Upstream Nat Resldx — Int/Div — Buy (add'l)
GUNR-Flexshares TR Morningstar Global Upstream Nat Resldx — Sold
DFCEX-Invt Dimensions Group Emerging Mkts Core Eq Prt — Int/Div
DFITX-Invt Dimensions Group Int'l Real Estate Secs Pif — Int/Div
PHYIX-Pimco Funds Pac Invt Mgmt Ser HY Fund — Int/Div — Sold
HLMIX-Harding Loevner Funds Inc Int] Equity Prt — Int/Div
CIVIX-Causeway Cap Mgmt Tr Int’) Value Fd — Int/Div
DFREX-Invt Dimensions Group Real Estate Secs Prt — Int/Div
DFEVX-Emerging Markets Value Fd — Int/Div
NMFIX MFB Northern Multi-Manager — Int/Div
MFR Northern Fds Cash Accounts — Int/Div
XLE MFC Select SPDR Tr Energy — None — Buy
BHYIX Blackrock Fed High Yield Bond Portfolio — Int/Div — Buy
Trust #6 (H)
Farm land, Christian County, Illinois — Iistnbution
JP Morgan Chase Cash Account — Distribution
Trust #7 (H)
Aston Optimum Mid Cap Fund (ABMIX) — None — Sold
IShares Russell MidCap Index Fund (IWR) — Int/Div — Buy (add'l)
IShares MSC EAFE Index Fund (EFA) — Int/Div — Buy
IShares MSC EAFE Index Fund (EFA) — Buy (add'l)
JP Morgan Inter. Tax Free Bond Fund Sel (Fund 1374) — Int/Div — Buy (add'l)
JP Morgan Market Expansion Index Fund (PGMIX) — Int/Div — Sold (part)
JP Morgan Market Expansion Index Fund (PGMIX) — Buy (add'l)
T Rowe Price New Asia Fund (PRASX) — None — Buy (add'l)
T Rowe Price New Asia Fund (PRASX) — Sold (part)
T Rowe Price New Asia Fund (PRASX) — Sold
Condominium Unit (real estate), Sarasota County, Florida — None
Hartford Capital Appreciation Fd (ITHIX) — Int/Div — Sold (part)
JPMorgan Large Cap Core Plus Fd-Select JLPSX) — Int/Div — Sold (part)
Neuberger Berman Multi Cap Opportunities Fd (NMULX) — Int/Div — Sold (part)
Spdr S&P S00 ETF Trust (SPY) — Int/Div — Buy (add'l)
Spdr S&P S00 ETF Trust (SPY) — Buy (add'l)
JPMorgan Intl Value Fd-Select (JNUSX) — None — Sold (part)
JPMorgan Intl Value Fd-Select (JNUSX) — Sold
MFS Intl Value Fd-1 (MINIX) — Int/Div
iShares MSCI All Country Asia Ex Jpn (AAXD) — Int/Div — Sold
Capital Private Client SVCS Cap Non-US Equities (CNUSX) — Int/Div — Sold (part)
Gateway Fund (GTEYX) — Int/Div — Sold (part)
Goldman Sachs TR Strg Income Inst (GSZI1X) — Int/Div — Sold (part)
JP Morgan China Region Fund-Select Fund 3810 (JCHSX) — Int/Div — Sold
JP Morgan Global Res Enh Index Fund Select Fund JEITX) — Int/Div — Buy (add'l)
JP Morgan Tax Free Inst! Sweep Fund (HR40) — Interest
Metropolitan West Funds Total Return CL TIMWTIX) — Int/Div
Equinox Funds Trust Strategy (EBSIX) — Int/Div — Buy
Equinox Funds Trust Strategy (EBSIX) — Buy (add'l)
Dodge & Cox Intl Stock Fund (DODFX) — None — Buy (add'l)
Dodge & Cox Intl Stock Fund (DODFX) — Sold
Brown Adv Japan Alpha (BAFJX) — Int/Div — Buy (add'l)
Gotham Absolute Return (GARIX) — Int/Div
Inv Balanced-Risk Alloc (ARBY X) — None — Sold (part)
Inv Balanced-Risk Alloc (ARBY X) — Sold
DB Market Plus WTI 7/21/15 — None — Sold
JP Morgan Daily Return Note — None — Sold
Gis EAFE REN MAT 2/18/16 — None — Buy
Deutsche X-Trackers MSCI EUR (DBEL) — Int/Div — Buy
Vanguard FTSE Europe ETF (VGK) — Int/Div — Buy
Deutsche X-Trackers MSCI Jap (DBJP) — Int/Div — Buy
John Hancock 11 Str Inc 1 JIP1IX) — Int/Div — Buy
John Hancock 11 Str Inc 1 JIP1IX) — Buy (add'l)
Columbia Asta Pax (TAPRX) — None — Buy
Columbia Asta Pax (TAPRX) — Sold (part)
Columbia Asta Pax (TAPRX) — Sold
Credit Suisse Comm Return (CRSOX) — None — Buy
Credit Suisse Comm Return (CRSOX) — Sold
Deutsche XTRAC MSC1 EAFE Hedge Fund (DBEF) — None — Buy
Deutsche XTRAC MSC1 EAFE Hedge Fund (DBEF) — Buy (add'l)
Deutsche XTRAC MSC1 EAFE Hedge Fund (DBEF) — Sold
JP Morgan Cash Account (X) — Interest
Trust #8 (H)
JPMORGAN CASH ACCOUNT — Interest
SPDR SOO ETF TR (SPY) — Int/Div — Buy (add'l)
SPDR SOO ETF TR (SPY) — Buy (add'l)
ISHARES TR RUSSEL MIDCAP INDEX FUND (WR) — Int/Div — Buy (add'l)
ISHARES TR RUSSEL MIDCAP INDEX FUND (WR) — Buy (add'l)
JPMORGAN TR INTERM TX FREE BDFD INST(FUND 1374) — Int/Div
JPMORGAN TRUST [Il MKT EXPAN INDEX FUND (PGMIX) — Int/Div — Sold (part)
JPMORGAN TRUST [Il MKT EXPAN INDEX FUND (PGMIX) — Sold
JP MORGAN TR I INTL VALUE FUND UINUSX) — Int/Div — Buy (add'l)
T ROWE PRICE INTL FDS NEW ASIA FD (PRASX) — None — Buy (add'l)
T ROWE PRICE INTL FDS NEW ASIA FD (PRASX) — Sold (part)
T ROWE PRICE INTL FDS NEW ASIA FD (PRASX) — Sold
MFS INTL VALLE FUND (MINIX) — Int/Div — Sold (part)
DODGE&COX FD INTL STOCK FD {DODFX) — None — Buy (add'l)
DODGE&COX FD INTL STOCK FD {DODFX) — Buy (add'l)
DODGE&COX FD INTL STOCK FD {DODFX) — Sold
PRIMECAP ODYSSEY FUNDS ODYSSEY STK FD (POSKX) — Int/Div — Buy (add'l)
PRIMECAP ODYSSEY FUNDS ODYSSEY STK FD (POSKX) — Sold
HARTFORD CAP APPRECL MUTUAL FUND({ITHIX) — Int/Div — Sold (part)
GATEWAY FD-Y (GTEYX) — Int/Div — Sold (part)
NEUBERGER BERMAN EQUITY ~FDS MULCAP OPP INS FUND I(NMLLX) — Int/Div
JPM INTREPID VALUE FD (FUND 1136) — None — Sold
CAPITAL PRIVATE CLIENT SVCS NON US EQUITIES (CNUSX) — None — Sold (part)
CAPITAL PRIVATE CLIENT SVCS NON US EQUITIES (CNUSX) — Sold
ISHARES MSC! EAFE INDX FD (EFA) — Int/Div — Sold (part)
ISHARES MSC! EAFE INDX FD (EFA) — Sold (part)
ISHARES MSC! EAFE INDX FD (EFA) — prt)
ISHARES MSC! EAFE INDX FD (EFA) — Sold (part)
ISHARES MSC! EAFE INDX FD (EFA) — Buy (add'l)
JPM CHINA REGION FD-SELECT (JCHSX) — Int/Div — Sold
JPM GLOBAL RES ENH INDEX FD- SELECT JEITX) — Int/Div — Buy (add'l)
JPM GLOBAL RES ENH INDEX FD- SELECT JEITX) — Buy (add'l)
EQUINOX FDS TR CB STGY 1 (EBSIX) — Int/Div — Buy
EQUINOX FDS TR CB STGY 1 (EBSIX) — Buy (add'l)
GOLDMAN SACHS TR STRG INCM INSTHIGSZIX) — Int/Div — Sold (part)
DODGE & COX INCOME FD (DODIX) — Sold
Brown Adv Japan Alpha (BARIX) — Int/Div — Sold (part)
Brown Adv Japan Alpha (BARIX) — Buy (add'l)
Brown Adv Japan Alpha (BARIX) — Sold (part)
Brown Adv Japan Alpha (BARIX) — Buy (add'l)
Gothan Absolute Return (GARIX) — Int/Div
INV Balance Risc Alloc - Y (ABRYX) — None — Sold (part)
INV Balance Risc Alloc - Y (ABRYX) — Sold
DB Market Plus WTI — None — Sold
JPM Daily Return Note — None — Sold
Vanguard 1'1SE Europe E¥1 (VGX) — Int/Div — Buy
GS EAFE Ren Mat 2/18/16 — None — Buy
ISHA Curr Hedged MSC EAFE (HEFA) — Int/Div — Buy
Doubleline total Ret Bond-! (DBLTX) — Int/Div — Buy
John Hancock 11 Str Inc-1 JIPIX) — Int/Div — Buy
John Hancock 11 Str Inc-1 JIPIX) — Buy (add'l)
Deutsche X-Trackers SCL JAP (DBJIP) — Int/Div — Buy
Deutsche X-Trackers SCL JAP (DBJIP) — Buy (add'l)
Deutsche X-Trackers SCL JAP (DBJIP) — Sold
Deutsche X-trackers MSCI EUR (DBEL) — Int/Div — Buy
Deutsche X-trackers MSCI EUR (DBEL) — Sold
Deutsche XTRAC MSCI EAFE Hedge Fund (DBEF) — Int/Div — Buy
Deutsche XTRAC MSCI EAFE Hedge Fund (DBEF) — Sold
HSBC Funds (HTRIX) — Int/Div — Buy
HSBC Funds (HTRIX) — Sold
Credit Suisse Commodity Return (CRSOX) — None — Buy
Credit Suisse Commodity Return (CRSOX) — Sold
Co-Trustee, Trust £1 (family trust; no reportable assets because did not create the trust and have no beneficial interest in the trust)
Agreement — 2013 — Mayer Brown LLP - Payment of remaining compensition due through June 1, 2012 (last day with firm; final reconciliation still pending due to tax refunds)
Liability — United Pacific Life — Loan #1
Liability — United Pacific Lite — Loan #2
Liability — JP Morgan Chase — Credit Card
Reimbursement — Federal Judicial Center — 03/1022015 03/132015 — New York, NY — FIC Employment Law Seminar — Aartare, per diem
Reimbursement — Administrative Ofice of the United States Courts — 05/03/2015 05052015 — Milwaukee, WI — 7th Circuit Judicial Conference — Mileage, Parking, Hotel, Meals
Spouse's income — 2015 — Janus & Associates, salary
Additional Information Concerning Part VILA, Description of Investments and Trusts:
Lines 2, §, 8-10, 25-27, 61-62: Formerly dependent daughter is no longer a dependent; accordingly these assets are no longer valued and will be deleted from
subsequent reports, A portion of the asset listed on Line 24 was also owned by my formerly dependent daughter; that portion is no longer being reported (and
consequently the value has decreased from value previously reported).
Line 4: Chemours is 4 spin-off of DuPont. The Acquisition drop down box includes an option to select "spin off from line." but does not accept a number
input. so | was unable to mclude that information on a line in Part VII. The sale indicated was a fractional share.
Line $3: Symbol corrected (erroneously reported as *NSICX" on last report; corrected symbol
DX."
Lines 63-64; 1 am the co-trustee of Trust #1 (a trust created by family member). 1 have no beneficial interest in that trust and receive no fees. Accordingly, assets
for this trust are not reportable per current instructions and Trust and Asset Descriptions include (Y) designation.
Pursuant to current year instructions, assets/mcome of Trust #1 have not been reported because | did not create the trust and have no beneficial mterest m it. Trusts
previously reported as #8 through #20 have been deleted from the report pursuant to current year instructions (confirmed by phone with staff of the Committee)
because neither | nor my spouse created the trusts or have any beneficial interest in any of these trusts. Former Trust #21 has been renumbered as Trust #8, My
spouse is the sole beneficiary of Trusts #2-45 and has & 25% beneficial interest in Trusts #6 through #8. I have reported only the value of my spouse's beneficial
interest in these trusts,
Line 199: The symbol for this fund changed in 2014 to JNUSX from JIESX and has now been corrected in this report. This asset was erroneously double-reported
on the 2014 report, once under each symbol.
Additional Information Concerning Part VILD., Transactions During Reporting Period:
Lines 4 and 71: Chemours was obtained as a spin-off from DuPont. The drop down menu on the software contains a spin-off choice as the transaction type,
but does not work properly; it does not permit entry of the line for the asset that spun off the new company. Accordingly, | was unable to indicate the spin-off
transaction in Part VILD.
This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.