Professional Documents
Culture Documents
1/2011
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) TREADWELL, MARC T. 4. Title (Article III judge~ indicate active or senior status; magistrate judges indicate full- or pard-time) U. S. DISTRICT JUDGE - ACTIVE
Nomination, [] Initial
5b. [] Amended Repor~ 7. Chambers or Office Address P. O. BOX 65 MACON, GA 31202 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 NOTES: 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 pag~
D
1. 2. 3. 4. 5.
NAME OF ORGANIZATION/ENTITY
Adams, Jordan & Treadwell, P.C. (Ill/2010 - 6/25/2010)
II. AGREEMENTS. ~Repom.g individual only; see pp. 14-16 of filing instructions.)
~ NONE (No reportable agreements.) DATE
1.7/31/2010
2.7/31/2010
Treadwell, Marc T.
I. 2010 2.2010 3. 4.
B. Spouses Non-Investment Income - If.van were married during any portion of the reporting year, complete this section.
(Dollar amount not required vcept for honoraria.)
D
1.2010 2. 3. 4.
PURPOSE
V. GIFTS. ancludes those to s~ouse und dependen, children; see pp. 28-31 of filing instructions.) NONE (No reportable g~s.) SOURCE
I. 2. 3.
4.
DESCRIPTION
VALUE
5.
V I. L I A B I L I T I E S. ancludes those o/~po~e ~nd dependent children; see pp. 32-33 of filing instruction&)
D
1. 2. 3. 4. 5.
DESCRIPTION
Mortgage on rental property #1, Fripp Island, SC (Part VII, line 4)
VALUECODE
M
VII. INVESTMENTS and TRUSTS - i.co=., value, t..=o,io.~ a.cl.d.~ tho.e o/s~.o..e ~.d depe,a,,t children: see pp. 34-60 of filing instructions.)
~
Bank of America Account (X) Wells Fargo Account (X) SunTrust Account (X) Rental Property #1, Fripp Island, SC Northwestern Mutual - Whole Life policy #1 Northwestern Mutual - Whole Life policy #2 Northwestern Mutual - Whole Life policy #3 Northwestern Mutual - Whole Life policy #4 Brokerage #1 -Cash/Money Accounts -Powershares VRDO Tax Free Fund Brokerage#2 -Cash/Money Accounts -American Express Company(common) -Ameriprise Financial Inc (common) -Bristol-Myers SquibbCo (common) -General Electric (common)
A A A E A A A A
J J K N K K K K
T T T W T T T T
B A
Interest Interest
N M
T T
E A A A A
K K J K J
T T T T T
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Melhod Codes (See Column C2)
A =$1,000 or less F =$50,001 - $100,000 J =$15.000 ~ less N =$250.001 - $500.000 P3 =$25.000.001 - $50,0~L000 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 tRcal Estale Only) V =O~hcr
C =$2,501 - $5,000 Ill =$1.000.001 - $5.000.000 L =$50.001 - $100.00~ PI =$1,000.001 - $5.000.000 P4 = More than $50.000.000 S =Asscssnumt W =Estimated
D =$5.001 - $15.000 112 =More than $5.000.000 M =$10~.001 - $250.000 P2 =$5.000,001 - $25,000.000 T -=Cazh MarkO
E =$15.091 - $50.000
VII. INVESTMENTS and TRUSTS - i.co .... .al.e, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructionx.)
D
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.
-Home Depot Inc (common) -Johnson and Johnson (common) -Kimberly Clark (common) -Zimmer Holdingslnc (common) Brokerage #3 -Cash (X) -AT&T Inc (common) -Coca-Cola Co (common) -Wal-Mart Stores Inc (common)
A A B A
J K K J
T T T T
A A A B
Brokerage #4 -Cash/Money Accounts (Y) Brokerage #5 -Amazon.corn (common) -CTRIP.com IntlLtd (common) -Delllnc (common) -Earthlink lnc (common)
None None None None Sold Sold Sold Sold 03/05/10 03/05/10 06/05/10 03/05/10 J J J J A Interest L T
B A
1. Income Gain Codes: (Sc Columns BI and D4) 2. Vah.~ Cod~ (Sec Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50.001 - $100,009 J =$15,000 Ix 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 - $1.0~0.000 K =$15.COI - $50.0(~ O =$500.001 - $1.000.000 R =Cost (Real Estatc Only) V =Olhr
C $2.501 - $5,0~0 111 =$1.090.001 - $5.000.000 L =$50.001 - $10~.000 PI =$1.000.001 - $5.000.0~0 P4 =More Ihan $50.00~.090 S =AsscssmL"nt W =Estimated
D =$5,001 . $15.000 112 =More than $5.000.0~0 M -$10~.001 - $250.000 P2 =$5.00).001 - $25.000.009 T =Cash Markcl
E =$15,001 - $50.000
VII. INVESTMENTS and TRUSTS - i.com.. ..atue. tra,,~actio,~, ~tncludes those o/spoase 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 i (I) (2) i Amount Type (e.g., div., rent, i Code I i (A-H) or int.) Gross value at end of reporling period (0 (2) Value Value Code 2 Method
(J-P) Code 3
35.
36.
None
None
Sold
Sold
03/05110 J
03/05110 J A
37. IRA #1 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. -lshares Dow Jones US Real Estate Index Fd 49. 50. 51. -Ishares FTSE Xinhua HK China 25 Index Fd -Ishares Dow Jones US Financial Sector Index Fd -Ishares Dow Jones US Energy Sector Index Fd -lshares Dow Jones US Healthcare Sector Index Fd -Ishares Dow Jones US Consumer Services Sector Index Fd -Cash/Money Accounts -Ishares Dow Jones US Basic Materials Sector Index Fd -Ishares Dow Jones US Consumer Goods Sector Index Fd
Dividend
Sold Buy (addl) Sold Buy Sold Sold Sold Buy Sold Buy (addl) Sold Sold Sold
02/05/10 02/17/10 00/22/10 02/17110 00/22/10 04/22110 04/22110 02/17/10 04/22110 02/17/10 04/22/10 01/28/10
J J J J J J J J J J J J
B A
02/04/10 J
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes ISee Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1.00~ or less F =$50.001 - $109,000 J =SI5,000 or I~ N =$250.001 - $500.000 P3 =$25.~0.001 - $50.000.000 Q =Appraisal U -13~ok Value
B -$1,001 - $2.500 G =$100.001 - $1.0~0.000 K =$15.001 . $50.000 O =$500.001 - $1.000.000 R :=Cost (Real Estate Only) V =Owher
C =$2,501 - $5,000 111 =$1.0~0,001 . $5.000.000 L =$50.0QI - $10O.00Q PI =$1.000.001 - $5.000.000 P4 =More Ihan $50.000.000 S =Assessment W Estimated
D -$5,001 - $15,0~0 112 =More than $5.000,000 M =$10~.001 . $250.000 P2 =$5.000.001 - $25.000.000 T =Cash Market
E =$15,001- $50.0~0
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp~ 34-60 offillng 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 I (I) (2) Amount Code I ! (AdD i 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 (Q-W) (l) Type (e.g., buy, sell, redemption)
D.
Transactions during reporting period (2) (3) (4) Date Value Gain mm/dd.~y Code 2 Code I (J-P) (A-H) (5) Identity of buyer!seller (if private transaction)
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.
02/05/10 02/05/I 0 02/05/10 02/17/10 04/22/10 02/17/10 04/22/10 02/17/10 04/22/10 04/22/10 02/17/10 04/22/10 04/22/10 02/17/10 04/22/10 04/23/10 04/22/10
J
J
A A A
-Ishares S&P Latin America 40 Index Fd -Ishares S&P Midcap 400 Growth
J J J J J J J J J
J
Buy Sold
A A
-Ishares S&P 500 Growth Index Fd -lshares S&P 500 Value Index Fd
A B
-Ishares Trust Dow Jones US Technology Sector Index Fd -Ishares Trust Dow Jones US Industrial Sector Index Fd
J J J
J
A A B
Sold Sold
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2J
A =$1.000 or less F =$50,001 - $100.000 J :$15.000 or less N -$250.001 - $500.0~ P3 =$25.000.001 - $50.090.000 Q =Appraisal U -Book Value
B =$1.001 - $2.500 G =$100.001 - $1.000.000 K =SI S.001 - $50.000 0 =$500.001 - $1.000.000 R =Cost (Real l:,stalc Only) V =O~her
C =$2.501 - $5,000 III =$1.000.001 - $5.000.000 L =$50.001 - $100.000 PI =$1.000.001 . $5,000.~ P4 =More than $50.000.000 S =Assessment W =Estimated
D =$5.0~1 - $15,000 112 =More than $5.000.000 M =$100.001 - $250.000 P2 -$5.000,001 - $25.000,000 T =~h Market
E =$15,001 - $50,000
V II. INV ESTMENTS and T RU STS - incomo, value, .ansactio~ anaud~ those o/spouse ~d 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 ~--poning period i (I) (2) i Amount :~ Code I (A-H) Type (e.g., div., rent, or int.) Gross value at end of reporting period
(I)
Value Code 2 (J-P)
(2)
Value Method Code 3
i
69. 70. -Diamonds Trust Series 1 -SPDR Dow Jones Indus Av ETF Trust
02/17/10 04/22/10
J J
71. 72. 73. 74. 75. 76. 77. 78. 79. 80.
-SPDR S P Emerging Asia Pacific -SPDR S P Emerging Europe -SPDR S&P Midcap 400 ETF Trust
J J J J J J A B A
-Standard&PoorsDepRcpt -Van Kampen Bd Fd Inc IRA #2 -Cash -Capital Income Builder Fd CI B -Capital World Growth & Income Fd CI B A lnt./Div.
Sold Sold
Sold
05/17/10
81. -Washington Mutual Fund CI B 82. 83. 84. 85. 401 (k) Retirement Plan -American Funds - Growth Fund of America-R2 B Dividend
Sold
05/17/10
J J J
I. Income Gain Codes: (See Columns B I and 1)4 ) 2. Value Cod~ (See Columns CI and D3) 3. Value Method Codes lSce Cohlmn C2)
A =$1,000 or less F =$50.001 - $ 100,000 J =515.000 ~ less N -$250.1)01 P3 =$25.000.001 - $50.0~1.000 Q =Appraisal O =Book Value
C =52,501 - $5.0~0 I I I ~$1,000,001 - $5,000,000 L =550.001 - 5100.000 P4 =More than $50.00~.000 S =Ass~ssmer~t W =Estimated
D =$5.0~ I - $15 112 =More than $5.000.000 M =$100.001 - $250.0~0 P2 =$5.000.001 - $25,000.00~ T =C~h Markcl
E =$15,001 - $50.000
VI I. INVESTMENTS and TRU STS -income, value, tran~actlons (Includts those of spouse and dependent children; seepp. 34-60 of filing instructionx)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Income during reporting period Gross value at end Transactions during reporting period
of r,.-Vorting period
i (i) [ Amount
] Code I (A-H)
(I)
Value
Code 2 (J-P)
(2)
Value
Method Code 3
(i)
Type (e.g., buy, sell, redemption)
(2)
(3)
(J-P)
(4)
Gain Code I (A-H)
(5)
Identity of buyer!seller (if private transaction)
86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99.
529 College Savings Plan #I -Blackrock 100% Equity Port 529 College Savings Plan #2 -Blackruck 100% Equity Port Trust#1 -Federated Tax-Free Obligs Fd MMkt Instl C1#15 FFS -BP PLC Spons ADR (common) -Exxon Mobil Corp(Common) -Praxair Inc (Common) -General Electric Co (Common) E
Int./Div.
05/07/10 K 05/07/10 K
100. -Home Depot lnc (Common) 101. -Coca-Cola Co (Common) 102. -Colgate Palmolive Co (Common)
I. Income Gain Codes: (See Columns BI and 1)4) 2. Value Codes (See Columm CI and D3) 3. Value Method COd~ {Sc Column C2)
A =$1.0OO or less F =$50~001 - $100,000 J =$15.0~0 or le~ N =$250.001 - $500.000 P3 =$25.000.001 - $ 50.000.0~O 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 =O~her
C =$2,501 - $5,000 tt I =$1,000.001 - $5.000,000 L =$50.001 - $10O.000 PI =$1,000.001 - $5.000,000 P4 =More than $50.000.000 S =Assessment W =Estimated
D =$5.001 - $15,000 112 =More than $5.000.000 M =$10~.001 - $250.000 P2 :$5.000.001 - $25.000.000 T =Cash Markcl
E =$15.001 -$50,000
[~]
redemption)
103. -Kimberly Clark Corp (Common) 104. -Bristol Myers Squibb Co (Common) 105. -Johnson & Johnson (Common) 106. -American Express Co (Common) 107. -Bank of America Corp (Common) 108. -JP Morgan Chase & Co (Common) 109. -Charles Schwab Corp (Common) 110. -Wells Fargo & Co New (Common) I 11. -Hewkett-Packard Co (Common) 112. -Intel CorD (Common) 113. -Microsoft CorD (Common) 114. -Verizon Communications (Common) 115. Frontier Communications Corp (Common) 116. 117. -Forum Funds - Absolute Strategies Fd Instl CI 118. -Manning & Napier Funds - World Opptys Set Cl A 119. -Oppenheimer Funds - Developing Mkts Instl Fd C1 Y
Spinoff [(from line 114) Sold 07/08/10 07/21/10
J J
1. Income Gain Codes: (See Columns B1 and D4) 2. Value Codes (Sc Columns CI and D3) 3. Value Method Codes {,See Column C2)
A =$1,000 or less F =$50,001 - $100,000 J =$15.1)00 or less N =$250.001 - $500.000 P3 =$25,000.001 - 550.000.000 Q =Appraisal U =Book Value
B =$1,001 - $2.500 G =5100.001 - $1.000.000 K =$15.001 - $50.000 O =$500,001 - $1.000.000 R =~ost (Real F, stale Only) V =Other
C =$2.501 - $5,000 111 =$1.000.001 - $5.000.000 L =$50.0OI - 5100.000 PI =$1.000.001 - $5.000.000 P4 =More than $50.000.000 S =Assessment W =Eslimated
D =$5.001 - $15.000 112 =More than $5.000.000 M =5100.001 - $250.000 P2 =55.000.001 - 525,000.000 T =Cash Market
E =S 15.001 - $50.000
V I I. I N V E S T M E N T S a n d T RU S T S -income, val,e, ~ansoaSo~ ancl~des ,hose o/svo,se ~nd dependent children; see pp. 34-60 of fillng instruction)
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 O) Amount Code 1 i (A-H) (2) Type (e.g., div., rent, or int.) Gross value at end of reporting period (1) (2) Value Value Method Code 2
(J-p) Code 3
(Q-w) Int./Div. N T
120. Trust #2 12 I. -Federated Tax-Free Obligs Fd MMkt Instl C1#15 FFS 122. oBp PLC Spons ADR (Common) 123. 124. -Exxon Mobil Corp (Common) 125. -General Electric Co (Common) 126. -Home Depot lnc (Common) 127. -Abbott Labs (Common) 128. -JP Morgan Chase & Co (Common) 129. -Intel Corp (Common) 130. -Oppenheimer Funds-Developing Mkts Instl Fd CI Y 131. -Note Rec. (Mortgage on rental prop #1-Part VI, Ln 1) (Y) 132. Trust #3 133. -General Electric (Common) 134. -Johnson and Johnson (Common) 135. -WaI-Mart Stores Inc (Common) (X) 136.
Donated (part)
Int./Div.
06/07/10
D B
07/26/10 J
1. Income Gain Codes: (Sc Columns Bl and D4) 2. Value Codes ISe 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 =$25.000.001 - $50.000,000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100.001 - $1.000.000 K =$15.0OI - $50.000 O =$500.001 - $1.000,000 R =Cost (Rcal Estate Only) V =Olher
C $2.501 - $5.000 I II =$l.000.001 - $5.000.000 L =$50.0OI - $100.000 PI =$1.000.0OI - $5.0OO.000 P4 =More than $50.000.000 S =Asscssmtmt W Esllmated
D -$5,001 - $15,000 112 =More than $5.000.000 M =$100.001 - $250.000 P2 =$5.000.0OI - $25,000.000 T =Cash Market
E =$15.0~1 - $50,000
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 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 ~, (t) (2) i Amount Type (e.g., Code I div., rent, Gross value at end of reporting period (I) (2) Value Value Code 2 Method (J-P) Code 3 Transactions during reporting period
(A-II)
or int.)
(2) (3) (4) Date Value Gain mm/ddP~ Code 2 Code 1 (J-P) (A-H)
(Q-W)
137. 138. Trust #4
139. -General Electric (Common) 140. -Home Depot Inc (Common) 141. -Johnson and Johnson (Common) 142. -MFS Growth Allocation Fund CI C Int./Div. M Sold (part)
12/02/10 J
143. Bac Clirn Global E (MLGEZ) 144. -Fidelity Adv Health Care Fd CI A 145. -Fidelity Advisor Growth & Income Fd CI A 146. -Putnam Research Fd CI A (Y) 147. -Putnam Europe Equity Fund CI A 148. -Putnam Investors Fd CI A 149. -Wal-Mart Stores Inc (Common) (X)
None
J J J J J J
12/02/10 J
I. Income Gain Codes: (See Columns BI and D4) 2. Value Cod,.-s (Sc Columns CI and D3) 3, Value Method Codes (See Column C2)
A =$1.000 or less F $50.001 - $100.000 l -$15.000 or less N -$250.0OI - $500.000 P3 =$25.000.0OI - $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 -$500.0OI - $1.000.000 R Cos! IRcal Estate Only) V =O~her
C =$2,501 - $5,000 Itl =$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 - $15,000 112 =Morelhan $5.000.000 M =$100.001 - $250.000 P2 =$5.000.0OI - $25.000.0OO T ~a.sh Market
E-$15,001 - $50.000
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 ~vith the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FALLS 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
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. f lOl-Ill)
I. Person Reporting (last name, first, middle initial) TREADWELL, MARC T. 4. Title (Article III judge~ indicate active or senior status; magistrate judges indicate full- or part-time) U. S. DISTRICT JUDGE - ACTIVE
5b. [] Amended Report 7. Chambers or Office Address P. O. BOX 65 MACON, GA 31202 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 NOTES: The instructions accompanying this form must be followe,t Complete ali parts,
checking the NONE box for each part where you have no reportable informatiot~ Sign on last pag~
D
1. 2. 3. 4. 5.
II. AGREEMENTS. meponi.g individual only; see pp. 14-16 of firing instructions.)
1.7/31/2010
2.7/31/2010
Treadwell, Marc T. A
D
1. 2010 2.2010 3. 4.
B. Spouses Non-Investment Income - If you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
I. 2010 2. 3. 4.
2. 3. 4. 5.
V. GIFTS. anclud,~ those ,o spo.so and dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable g~s.)
SOURCE
I. 2. 3. 4.
DESCRIPTION
VALUE
5.
V I. LIABILITIES. a, cl.dos ,hose olspo,,e ,.d dependent children; see pp. 32-33 of filing instructions.)
~
1. 2. 3. 4. 5.
DESCRIPTION
Mortgage on rental property #1, Fripp Island, SC (Part Vll, line 4)
VALUE CODE
M
V I I. I N V E S T M E N T S a n d T R U S T S - income, ,alue, t~a.soctio,~ (Includ~ those of spouse and dependent children; see pp. 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
De~eription of Assets Income during
(including trust assets) Place "(X)" after each asset exempt from prior disclosure
reporting period i (~) (2) Amount Type (e.g., Code 1 div., (A-H) or int.)
Code 2
(J-P)
Method
Code 3
(2) (3) (4) Date Value Gain mm!dd/yy Code 2 Code I (J-P) (A-H)
(Q-W) I. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. Bank of America Account (X) Wells Fargo Account (X) SunTrust Account (X) Rental Property # I, Fripp Island, SC Northwestern Mutual - Whole Life policy #1 Northwestern Mutual - Whole Life policy #2 Norlhwestern Mutual - Whole Life policy #3 Northwestem Mutual - Whole Life policy #4 Brokerage #1 -Merrill Lynch Cash Management Account -Powershares VRDO Tax Free Fund Brokerage #2 -Merrill Lynch Cash Management Account -American Express Company (common) -Ameriprise Financial Inc (common) -Bristol-Myers SquibbCo (common) -General Electric (common) E A A A A Interest Dividend Dividend Dividend Dividend K K J K J T T T T T B A Interest Interest N M T T A A A E A A A A Interest Interest Interest Rent Dividend Dividend Dividend Dividend J J K N K K K K T T T W T T T T
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codc~ (See Colurnrts CI and D3) 3. Value Method Codes (See Column C2)
A =$1.000 or less F =$50,001 - $100,000 J =$15.000 or Ices N =$250.001 - $5011.000 P3 =$25.00~.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 lRcal I.stale Only) V =Other
C =$2.501 - $5,000 II I =$1.0OO.001 - $5.000.000 L =$50.001 o $10~,000 PI -$1,000.001 - $5.000.000 P4 =More than $50,000.000 S =Assessment W =Eslimated
D =$5.001 - $15.000 112 =More than $5.000.000 hi =$10~.001 - $250.000 P2 =$5.0~0.001 o $25.000.000 T =Cash Markcl
E =$15.001 - $50.000
V II. INVEST MENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children: seeplx 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Income during reporting period (I) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.) Gross value at end ofreporting period (I) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) (I) Type (e.g., buy, sell, ~-demption) (2) (3) (4) Date Value mm!dd~y Code 2 (J-P) Gain Code I (A-H) (5) Identity of buyerfseller (if private transaction) Transactions during reporting period
18.
19.
A
A
Dividend
Dividend
J
K
T
T
20.
Dividend
21.
Dividend
22.
23.
24.
Dividend
J K J D
25.
Dividend
26.
Dividend
27.
28.
Brokerage #4
-Merrill
29.
Iv)
30. Brokerage #5 -Amazon.com (common) -CTRIP.com Intl Ltd (common)
Interest .
31.
None
J J J J A
32.
None
33.
-Dell lnc
(common)
None
34.
None
I. Income Gain Cedes: (See Columns BI and D4) 2. Value Cod,-s ISee Columns CI and D3) 3. Value Method Cod,s I See Column C2)
A =$1.000 or less F =$50.001 * $100.00~ J = $15.000 or le~s N =$250.001 - $500.000 P3 =$25.0~).001 - $50.0/30.090 Q =Appraisal U -Book Value
B =$1,001 - $2,500 G =$I00.001 - $1.000.000 K -$ I 5.001 - $50.000 O :$500.001 - $1.000.0O0 R =(osl (Real Estate Only) V =O~her
C =$2,501 - $5.000 I11 =$1.000.001 - $5.000,000 L =$ 50.0~ I - $ 100.0OO PI -$1.000.001 - $5.00O.0QO P4 =More than $50.000.000 S =Ass~ssm~"nl W =Es~irnated
D =$5,001 - $15,0~0 112 =More than $5,000.000 M =$ 100.001 - $250.1~0 P2 =$5.000,001 - $25.0~0.000 T =Cash Markel
E =$15,001- $50,000
VII. INVESTMENTS and TRUSTS - inco,ne, v,lue. ~u.~.ct~o,~ ancl.des those o/spo.se ~nd dependent children; seepp. 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 Transactions during reporting period
i O)
] Amount ~ Code I i (A-H)
(2)
Type (e.g., div., rent, or int.)
O)
Value Code 2 (J-P)
(2)
Value Method Co~e 3
(2) (3) (4) Date Value Gain mm/dd/~iy Code 2 Code I (J-P) (A-H)
(Q-W)
35.
36.
None
None
Sold
Sold
03/05110 J
03/05110 J A
37. IRA#1 38. 39. 40. 41. 42. 43. 44. -lshares Dow Jones US Financial Sector Index Fd 45. -Ishares Dow Jones US Energy Sector Index Fd 46. 47. 48. 49.
50. 51. -Ishares FTSE Xinhua HK China 25 Index Fd
Dividend
-Merrill Lynch cash holding account -Ishares Dow Jones US Basic Materials Sector Index Fd -Ishares Dow Jones US Consumer Goods Sector Index Fd Sold Buy (addl) Sold -Ishares Dow Jones US Consumer Services Sector Index Fd Buy Sold Sold Sold Buy Sold -Ishares Dow Jones US Real Estate Index Fd
Buy (addl) Sold Sold Sold
J J J J J
J
B A
J J J
A
J J
I. Income Gain Codes: (See Col umns B I and D4 ) 2. Value Codes 1See Columns CI and D3) 3. Value Mclhod Codes (See Column C2)
A =51.000 or less F = $50.001 - $ 100,000 J =515.000 or less N =$250.001 - 5500.000 P3 =$25.0OO.0OI - $50.000.000 Q =Appraisal U -Book Value
B =$1,001 - $2.500 G =$ 100,001 - $ 1.000.000 K =$15.001 o 550.000 O =$500.001 - $1.000.000 R .:Cost (Real Estale Only) V =O~hcr
C =52,501 - $5,0~0 111 =$1,000.0~ 1 - $5.000.000 L =$50,001 - 5100.000 PI =$1.000.001 - $5.000,000 P4 =More than 550.000.000 S =Assessmumt W =Estimated
D =$5,001 - $15,000 112 =More t hart $ 5.000.000 M =$100.001 - $250.000 P2 =$5.000,001 . $25,000.000 T -~Cash Market
E =$15.001 - 550,000
VII. INVESTMENTS and TRUSTS - income, value, tru,~actlo~ ancl~des those of ~po~se 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 (I) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (I) Value Code 2 (J-P) (2) Value Method Code3 (Q-W) (1) Type (e.g., buy, sell, redemption) D. Transactions during reporling period (2) (3) (4) Dale Value Gain mm/dd/yy Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
52.
53.
Sold
Sold
02/05/10
02/05110
J
J
A
A
54. 55. 56. 57. 58. 59. 60. 61. 62. 63.
02/05/10 02/17/10 04122/10 02/17/10 04/22/10 02/17/10 04/22/I 0 04/22/10 02/17/10 04/22/10 04/22/10 02/17/10 04/22/10
J J J J J J J J J J J J
J
Buy Sold
-Ishares S&P 500 Growth Index Fd -Ishares S&P 500 Value Index Fd
-Ishares Trust Dow Jones US Technology Sector Index Fd 65. 66. 67. -Pimco Unconstrained Bond Fund CI P 68. -Powershares QQQ Tr Units Ser I -Ishares Trust Dow Jones US Industrial Sector Index Fd
A A B
04/23/I0 J
04/22/10 J
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codc~ (Sc Columns CI and DJ) 3. Value Method Codes ISce Column
$1.000 or less =$50.001 - $100.000 =$15.000 o Ices =$250.001 - $500.000 P3 =$25.000.001 - $50.000.000 =Appraisal -Book Value
B =$1,001 - $2.500 G =$100.001 - $1,000.000 K =$15.001 - $50.0~) 0 =$500.001 R =Cost (Rcal Estate Only) V =O~her
C =$2,501 I I I =$1.000.001 - $5.000.000 L *$50.0~1 - $10~.0~) PI =$1,000.001 - $5.000.000 P4 =More than $50.000.000 S =Asscssmcnt W =Esfimatcd
D -$5.0OI - $15.000 112 =More than $5.000.000 M =$100.001 . $250.000 P2 =$5.0~0.001 - $25.000.000 T =Cash Markcl
E =$15,0~1 - $50.0~O
VII. INVESTMENTS and TRUSTS - income, valu,, transactions ~tnctudes ,hose of spoase and dependent children; see pp. 34-60 of filing instructionx)
NONE (No reportable income, assets, or transactions.)
Description of Assets Income during Gross value at end of reporting period (I) (2) Transactions during reporting period
reporting period
(1) (2) Amount Type (e.g., [ Code I div., rent, (A-H) or int.)
Value Code 2
(J-P)
Value Method
Code 3
(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (J-P) (A-H)
(Q-W)
69. 70. -Diamonds Trust Series I -SPDR Dow Jones Indus Av ETF Trust Buy (addl) Sold 02117/10 J O4/22/10 J
71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85.
-SPDR S P Emerging Asia Pacific -SPDR S P Emerging Europe -SPDR S&P Midcap 400 ETF Trust
J J J J J J
-Standard&Poors DepRcpt -Van Kampen Bd Fd lnc IRA #2 -Smith Barney Bank Deposit Program cash account -Capital Income Builder Fd CI B -Capital World Growth & Income Fd CI B -Washington Mutual Fund CI B 401(k) Retirement Plan -American Funds- Growth Fund of America-R2 Dividend Int./Div.
Sold Sold
Open Sold
05/21/10 05/17/10
K K
Sold
05/17/10
J J J
Buy (addl)
I. Income Gain Codes: (See Columns B 1 and D4) 2. Value Codcs (See Colurara CI and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50,001 - $ 100,00~ J =$15,000 or less N :$250.001 - $5C~.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 - $1.000.0~0 R =Cost (Real Estate Only) V =Other
C =$2.501 - $5.000 I I I =$ 1.000,001 - $5.000.000 L =$50,001 - $100.000 PI =$1,000.001 - $5,000,000 P4 =More lhan $50.000,000 S =Ass~ssnlc-nl W :Eslimalcd
D =$5.001 - $15.000 112 = More t hun $ 5,000.~00 M :$100.001 . $250.000 P2 =$5.0(~.001 - $25.000,000 T =Cash Market
E :$15,0~1 - $50.000
86. -American Funds - Investment Company of America-R2 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99. 529College Savings Plan #1 -Blackrock 100% Equity Port 529 College Savings Plan #2 -Blackrock 100%Equity Port Trust#1 -Federated Tax-Free Obligs Fd MMkt Instl C1#15 FFS -BPPLC Spons ADR (common) -Exxon MobilCorp (Common) -Praxair the (Common) -General Electric Co (Common) E Int./Div. None
None
09110/10 J 12130/10 J
09/30/10 J 12/30/10 J
Sold
08/03/10 J
05/07/10 K 05/07110 K
100. -Home Depot Ine (Common) 101. -Coca-Cola Co (Common) 102. -Colgate Palmolive Co (Common)
I. Income Gain Codes: (See Columns B I and D4 ) 2. Value Code~ (Sc Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1.000 or less F =$ 50.001 - $ 100,000 J =$15.0(~1 or less N =$250.1)01 - $500,000 P3 =$25.000.0OI - $50.0~0.000 Q =Appraisal U :Book Value
B =$1,0Ol - $2,500 G =$100.001 - $ 1.000.000 K =115.(~)1 - $50,000 O =$500,001 - $1.000.000 R =Cost (Real Estate Only) V =O~ho"
C $2,501 - $5.000 111 =$ 1.000,091 - $ 5.000.000 L =150,001 - $100.000 Pl =$1.000.001 - $5.000.000 P4 =More than $50.000.0~0 S =Asscssmcnt W :Estimated
D =$5,001 - $15.000 112 =M ore than $5.000.000 M =$100.001 . $250.0(~ P2 =$5.000.001 - $25.000.~ T ==Cash Market
E =$15.001 -$50,000
VII. INVESTMENTS and TRUSTS - income, ralue, transactions (lnclude~ those of spouse and dependent children; see pp. 34-60
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 (I) (2) Value Value Code 2 Method (J-P) Code 3
of filing instructions.)
O)
Amount Code I i (A-H)
(2)
Type (e.g., div., rent, or int.)
(Q-W)
103. -Kimberly Clark Corp (Common) 104. -Bristol Myers Squibb Co (Common) 105. -Johnson & Johnson (Common) 106. -American Express Co (Common) 107. -Bank of America Corp (Common) 108. -JP Morgan Chase & Co (Common) 109. -Charles Schwab Corp (Common) 110. -Wells Fargo & Co New (Common) I l 1. -Hewkett-Packard Co (Common) 112. -Intel Corp (Common) 113. -Microsoft Corp (Common) 114. -Verizon Communications (Common) 115. Frontier Communications Corp (Common) 116. 117. -Forum Funds - Absolute Strategies Fd Insll C1 118. -Manning & Napier Funds - World Opptys Set CI A 119. -Oppenheimer Funds - Developing Mkts lnstl Fd CI Y
J J
07/21/I0
I. Income Gain Codes: (See Columns B I and D4) 2. Vah~ Codes (S,ze Columns CI and D3) 3. Value Method Codes (See Coh,nn C2)
A $1.000 or less F =$50.001 - $100.000 J =$15,000 ot less N $250.001 - $500.000 P3 =$25.000.001 - $50.000.000 Q =Appraisal U =Book Value
B $1,0~1 - $2,500 G =$100,001 - $1.000.DO0 K =$15.~01 - $50.000 O =$500.001 - $1.000.000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 I I l =$ ] .000.001 - $5.000.000 L =$50.001 - $100.000 P 1 =$1.000.001 - SL000.000 P4 =More Ihan $50.000.0~0 S =Assessment W -Estimated
D =$5.001 - $15,000 112 =More lhan $5.000.000 M =$10~.001 - $250.000 P2 =$5.000.001 " $25.000-~00 T =Cash Market
E =$15,0~1 - $50.000
VI l. I NVESTMENTS a n d TRUSTS - income, vat.,, ~a.~ac,io.~ a.elud~ ,hos. o/spous, and d~p~.de.t 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 p~riod (I) Amount Code 1 (2) Type (e.g., div., rent, C. Gross value at end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3 (I) Type (e.g., buy, sell, D. Transactions during reporting period (2) (3) (4) Date Value mm/dd~,y Code 2 (5) Identity of buyer/seller
Gain Code I
(A-H)
or int.)
redemption)
(J-P)
(A-H)
Int./Div.
C1#15 FFS
122. -BP PLC Spons ADR (Common) 123. 124. -Exxon Mobil Corp (Common) 125. -General Electric Co (Common) 126. -Home Depot Inc (Common) 127. -Abbott Labs (Common) 128.
Fd CI Y
131. -Note Rec. (Mortgage on rental prop #1-Part
VI, Ln 1) (Y)
132. Trust #3 133. -General Electric (Common) 134. -Johnson and Johnson (Common) 135. -WaI-Mart Stores Inc (Common) (X) 136.
Int./Div.
06/07/10 J 07/26/10 J
D B
I. Income Gain Codes: { See Columns B I and D4 ) 2. Value Codes ISce Columns CI and D3I 3. Value M,:thod Codes t.See Column C2)
A -$1,000 or less F -$50.001 - $ 100,000 J =$15,000 or less N =$250.001 - $500.000 P3 =$25.000.001 - $50.000.0~0 Q -Appraisal U =Hook Value
B =$1,001 - $2.509 G =$ 100.001 - $ 1,000.000 K =$15.001 - $50,000 O =$500.001 - $1.000.00~ R =Cost IRcal Estate Only) V =Otho"
C -$2.501 - $5.000 I I I =$ 1.000.001 - $5.000.000 L =$50.~OI - $100.000 PI =$1,000,001 - $5,000.000 P4 =More than $50.000.090 S =Assessment W =Estimated
D =$5.0~1 - $15,000 112 = More than $5.000.000 M =$100.001 - $250.000 P2 =$5,000.001 . $25,009,000 T =C~h Market
E =$15,001-$50,000
VI 1. INV ESTMENTS and TRU STS -income, value, transactions (Includes those ofsponse and dependent children; see pp. 34-60 of filing instructlon~)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Income during reporting I~riod (I) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) Gross value at end of reporting period (I) (2) Value Code 2 (J-P) Value Method Code 3 (Q-W) (I) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value mm/ddh/y Code 2 (J-P) Gain Code I (A-H) (5) Identity of buyer/seller (if private transaction) Transactions during reporting period
Sold (part)
12/02110 J
139. -General Electric (Common) 140. -Home Depot Inc (Common) 141. -Johnson and Johnson (Common) 142. -MFS Growth Allocation Fund CI C 143. Bac Clim Global E (MLGEZ) 144. -Fidelity Adv Health Care Fd CI A 145. -Fidelity Advisor Growth & Income Fd CI A 146. -Putnam Research Fd CI A (Y) 147. -Putnam Europe Equity Fund CI A 148. -Putnam Investors Fd CI A 149. -Wal-Mart Stores Inc (Common) (X)
None
J J J J J J J
I. Income Gain Codes: (See Columns B I and D4 ) 2. Value Codes {See Columrts CI and D3) 3. Value Mclhod Codes (See Column C2)
A =$1.000 or less F =$50.001 - $ 100,000 J =S 15.0~O 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 =SI5,001 - $50.000 O =$500.001 - $1.000.000 R ~os! (Real Estate Only) V =OIhcr
C =$2,501 - $5,000 I I I =$ 1,000,001 - $5.000,000 L =$50.0OI - $100.000 PI =$1,000,001 - $5.000.000 P4 =More than $50.000.000 S =Asscssmcnl W -Estimated
D =$5,0OI. $15,000 112 =More than $ 5.000.000 M =$100.001 - $250.000 P2 =$5.000.001 - $25.000.000 T =C~h Market
E =$15,001- $50,000
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 ~vhich 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.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FALLS 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