FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

1. Person Reporting (last name, first, middle initial) Rose, Thomas M. 4. Title (Article I11 judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. District Judge (active) 2. Court or Organization U.S. District Ct., S.D. Ohio 5a. Report Type (check appropriate type) ] Nomination,
[] Initial

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

3. Date of Report 04/28/2011 6. Reporting Period 01/01/2010 to 12/31/2010

Date
[] Annual [] Final

5b. [] Amended Report

7. Chambers or Office Address 200 West Second Street 9th Floor, Federal Building Dayton, OH 45402

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

IMPORTANT NO TES: The instructions accompanying this form must be followe~L Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.

I. P O SITI ON S. (Repor~ng individual only; see pp. 9-13 of filing instructions.)

NONE (No reportable positions.) POSITION

NAME OF ORGANIZATION/ENTITY Wiggins & Rose Stables L.L.P. KSJ Stables Llp

1. Partner 2. Partner 3. 4. 5.

II. AGREEMENTS. mepora.g i.d~vidual o.ly; see pp. 14-16 of filing instructions.)
~-~ NONE (No reportable agreements.) DATE
1.1976 2.2005 3. PARTIES AND TERMS Public Employees Retirement System, no control, retirement Northwestern Mutual Individual retirement account - self directed (rolled from Ohio Deferred Comp Fund)

Rose, Thomas M.

FINANCIAL DISCLOSURE REPORT Page 2 of 10

Name of Person Reporting Rose, Thomas M.

Date of Report 04/28/2011

IlL NON-INVESTMENT INCOME. tReponing individaal and spoa,e; see pp. 17-~4 of filing instructions.)
A. Filers Non-Investment Income

D
1. 2010 2. 3. 4.

N ONE (No reportable non-investment income.)

DATE

SOURCE AND TYPE

Ohio Public Employee Retirement System (Retirement)

INCOME
(yours, not spouses)

$76,557.00

B. Spouses Non-Investment Income - If you were married daring any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.) DATE SOURCE AND TYPE

Ohio Public Retirement System (Retirement)

1.2010 2. 3. 4.

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

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

NONE (No reportable reimbursements.) SOURCE

1. 2. 3. 4. 5.

DATES

LOCATION

PURPOSE

ITEMS PAID OR PROVIDED

FINANCIAL DISCLOSURE REPORT Page 3 of 10

Name of Person Reporting Rose, Thomas M.

Date of Report 04/28/2011

V. GIFTS. ancludes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
[] NONE (No reportable gifts.) SOURCE
1. 2. 3.
4.

DESCRIPTION

VALUE

5.

VI. LIABILITIES. aneiudes those olspo~e and dependent children; see pp. 32-33 of f!ling instructions.)

~]
1. 2. 3. 4. 5.

NONE (No reportable liabilities.) CREDITOR DESCRIPTION

VALUECODE

FINANCIAL DISCLOSURE REPORT Page 4 of 10

Name of Person Reporting Rose, Thomas M.

Date of Report 04/28/2011

VII. INVESTMENTS and TRU ST S - income, volue, trunsoctions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)

[]

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

1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11o 12. 13. 14. 15. 16. 17.

Amcap Fund Inc. Class A Am Funds Small Cap World Fund Class A Am Funds Aim Mutual Fund Inc. Class A Am Funds Bond Fund of Am Inc. Class A Am Funds Capital World Bond Fund Class A Funds Euro Pacific Growth B Fd. Class A Am Funds Archer - Daniels - Midland Co. Babcock Wilcox Bank of Am Coop Pref Berkshire Health BP P L C ADR Sponsored BP P L C ADR Spon Central Fund of Canada LTD CL Chesepeake Corp Cisco System Inc. Citigroup Cap Trust

A A C B A A A A A A B A A A A A

Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend

K K K

T T T Sold 09/15/10 09/15/10 L L

L K K J J K

T T T T T T

Buy

Buy Buy Buy Sold

12/15/10 10/13/10 07/23/10 05/05/10 07/16/10

K J K K J

J J J J J J

T T T T T T

Buy

Buy Buy Buy

10/18/10 i 03/23/10 10/13/10

J J J

Claymore Exchange Traded FD Zacks YLD A Hog

1. Income Gain Codes: (See Columns B1 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_0~0 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 =$500.001 - $1.000.000 R =Cost (Real Estate Only) V =Other

C =S2.501 - $5.000 HI =$1,000.091 -$5.~00.0~ L =$50.001 - $100.000 PI =$1,000.001 - $5,000,000 P4 =More than $50,000.000 S =Assessment W =Estimated

D =S5.001 - $15.000 H2 =More than M =$100.001 - $250.00~ P2 =$5,000,001 - $25,000,000 T =Cash Market

E =$15.001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 5 of 10

Name of Person Reporting Rose, Thomas M.

Date of Report 04/28/2011

VII. INVESTMENTS and TRU ST S - income, vulue, ~a.~uctio,~ (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.) [] NONE (No reportable income, assets, or transactions.)

18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.

Comm Vault Sys Exelon Corp Fomento Economico Mexicano Huntington Bancshares Ishares Tr DJ Sel Div Indx Ishares Tr Ftse Znhua IDX Ishares TR S&P Global 100 J.P. Morgan Chase McDermott Microsoft Corp Napoleon Ohio SD Nat City Cap PNC Newell Rubbermaid Inc Northridge Ohio SD Oracle SPDR Index SHS FDS Mideast Africa

A A A A A A A A A A A A A A A A A

Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend

J J J K J K K J J J K J J J J J J

T T T T T T T T T T T T T T T T T

Buy Buy

12/15/10 10/13/10

J J

Buy Buy

10/13/10 12/15/i0

J J

Buy Buy

06/25/10 10/13/10

K J

Buy Buy

03/23/10 12/15/10

J J

1, Income Gain Codes: (See Columns B1 and ~) 2. Value Codes ~See Columns CI and D3I 3. Value Mcthod Codes (See Column C2)

A =$l.000 or less F =$50.001 - $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 =$500.001 - $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

FINANCIAL DISCLOSURE REPORT Page 6 of 10

Name of Person Reporting Rose, Thomas M.

Date of Report 04/28/2011

VII. INVESTMENT S an d TRU STS - i.co~,., v.t.e, ~a.~.cao.~ a.a~de$ tho~e oS ~po,~e .nd depe.dent children; see pp. 34-60 of f!ling instructions.)
---] NONE

~o reportable

income, assets, or transactions.)

35. 36. 37. 38.

39. 40. 41. 42. 43. 44. 45. 46. 47.

Springfield Ohio SD Wilmington Ohio Water Rev Bond Wisdomtree Trust Emg Mkts $American Muni Power Oh
@$Buckeye Ohio TOB Settlem BE Fing Auth Asset $Celina Ohio $Centerville Ohio Hlth Ca Bethany Luthem Vlg Proj $Centerville Ohio Hlth Ca Bethany Lutherar Vlg. Proj $Clyde Green Springs Obligation Bond $Cuyahoga Cnty Ohio Hosp Ref &Impt Revenue Bonds Fairfield Co Hosp. Franklin Co Health Care Bond

A A A B
A A A B A A A A

Dividend Dividend Dividend Interest

Interest Interest Interest Interest Dividend Interest Dividend Dividend

J J J K K K

T T T T T T
T

Buy Buy

03/23/10 06/25/10

J J

J K J J
J

T T
T T T Buy 12/10/10 J

$Franklin County Ohio Hea Care Facs $Franklin Ohio Pub Imps General Obligation Bonds Franklin City (Warren Co) Ohio General Electric $Hamilton Cnty Ohio Hlth

A A A A B

Interest Interest Interest Dividend Interest

J J K J K

T T T T T Buy 12/15/10 J

48. 49. 50. 51.

E =$15,001- $50,000

21Val~ Cod~ .............. (See Columns CI and 03) 3, Value Method Codes (See Column C2)

:" ...... K--$15,00i , $50;000 O =$500.001~ $ li000:000 N =$250,00 i ;SS00;~ ...... P3 ~$25i~0~00i : $50.000,000 .... R =Cost (Rea! Estate Only) Q =AppraiSal : v =Other U =B~k ~i~e

L =$50,001 - $100.000 Pi --$1,000,001 i $S~00i000 e,l ~M6~e/hart $50,000,000 S =Assessment w =Estimated

M ~$I00.001 - S2501~ P2 =$5;000,001- $25,000.000 Z --Cash Market

FINANCIAL DISCLOSURE REPORT Page 7 of 10

Name of Person Reporting Rose, Thomas M.

Date of Report 04/28/2011

VII. INVESTMENTS and TRUSTS - ineo,.e, value, ~a.$actions anctude$ those olspouse and dependent children; see pp. 34-60 of f!llng instructions.)

NONE

(No reportable

income, assets, or transactions.)

52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.

$Hamilton County Ohio Fats Rev Bond SHuber Hts (Montgomery Co) $Independence Ohio GO Juniper Networks SLorain County Ohio Hosp Ref & Impt Rev I Bonds Catholic Hltcr $Mahoning County Ohio Gen Obligation Bonds #$Mansfield (Richland Cnty Genl Oblig Bonds Mahoning Co. Ohio Hosp. Fac Bonds $Ohio St Bldg Auth Revenu Bonds $Ohio St Higher Edl Fac (Ohio Christian Univ Proj) Ohio St Higher Ed Ohio St Water Dev. Bonds Ross Cnty Ohio Hosp. Rev Bonds ThomburgValue Fund - A Excahnge in Sweney Cartwright Stock Cash Account Wiggins & Rose Stables L.L.P. Rental Prop. #1, Xenia OH

B B A A A B B A A B A A A A B

Interest Interest Interest Dividend Interest Interest Interest Dividend Interest Interest Dividend Dividend Dividend Dividend Interest None None

K K K J K K K K K K

T T T T T T T T T T Redeemed 12/10/10 12/10/10 12/10/10 K K K Buy 12/16/10 J

Buy Redeemed

K J J

T T W
Distributed

02/22/10

1. Income Gain Codes: (See Columns B1 and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)

A =$1,000 or tess F =$50.001 - $106.000 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 =$500.001 - $1.000.000 R -~ost (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 - $25.000.00~" T =Cash Markel

E =$15.001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 8 of 10

Name of Person Reporting Rose, Thomas M.

Date of Report 04/28/2011

VII. INVESTMENTS an d TRU STS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)

[]

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

69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79.

KSJ Stables LLP

D Distribution

1~: ifi~me G~in Codes: iS~ 01umns BI arid D4) 2. Value Codes (See Columns CI and D3) 3. Value Mclhod Codes (See Column C2)

A ~$LO00 or le~s F =$50,001 - $100;000 J =$15.000 or less N =$250,001 - $500.000 P3 --$25.000.001 - $50,000,000 Q =Appraisal U :Book Value

G =$100.001 ~ $i,000~000 H1 =$1,000,001 ~ $5;000,000 K =$15,001-$50.000 L =$50;001 : $100;000 0 =$500,001 " $1,000,000 ............ p4 ~MOr~ thah $~i~OiOoo : R =Cost (Real Estate Only) S =A~seS~n~

H2 =More than $5.000,000 M =$100 001 = $250.000 OOl2 $25~000,000 : T =CashMarket ....

FINANCIAL DISCLOSURE REPORT Page 9 of 10

Name of Person Reporting Rose, Thomas M.

Date of Report 04/28/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indlcatepartofrepor)

FINANCIAL DISCLOSURE REPORT Page 10 of 10

Name of Person Reporting Rose, Thomas M.

Date of Report 04/28/2011

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 withheld because it met applicable statutory provisions permitting non-disclosure.

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/Thomas M. Rose

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