John Joseph Tharp jr

2015Annual

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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.

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John Joseph Tharp jr | Frix