Professional Documents
Culture Documents
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)
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 followed. Complete all parts, checking the NONE box for each part where you have no reportable informatiom Sign on last page.
Woodcock, John A.
III. NON-INVESTMENT INCOME. (Reporting indivldaal and spoase; see pp. 17-24 of filing instructions.)
A. Filers Non-Investment Income
D
1. 12/31/10 2. 3. 4.
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.)
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PURPOSE
2. 3. 4. 5.
V. GIFTS. ancl~des tho, e ,o spouse and dependent children; see pp. 28-31 of f!ling instructions.)
NONE (NO reportable gifts.) SOURCE
1. 2. 3. 4.
DESCRIPTION
VALUE
5.
VI. LIABILITIES. anct~de~ those olspouse nnd dependent children; see pp. 32-33 of f!llng instructions.) [~] NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
VII. INVESTMENTS and TRU STS -income, vatue, tro,~aetio,~ anetudes those o/spouse ~,d dependent children; see pp. 34-60 of filing instructions.)
Merck Common Stock 2. 3. 4. 5. 6. 7. 8. 9. I0. Chindex Intemational Common Stock Boeing Common Stock Cisco Common Stock MetLife Common Stock Wells Fargo Common Stock Powershares Wilderhill Clean Energy Portfolio Frontier Communications Common Stock Mitsui Common Stock - ADRs Apple, Inc. Common Stock Morgan Stanley Bank Deposits (Comment) 12. 13. 14. ExxonMobil Common Stock General Electric Common Stock 16. 17. The Growth Fund of America American Capital Income Builder (Comment) American Movil SA Common Stock
Dividend None
K J J K J L J K K K N K
T T T T T T T T T T T T Buy (addl) K
Dividend None
A A
B B
A A
Interest Dividend
B A A B
L K K K
T T T T
2. Value Codes (See Col ....CI and D3) 3. Value Method Codes (See Column C2)
J =$15,000 0r lass N =$250 00i 2 $500~000 P3 =$25 000 b01 : $50.0b01000 Q =Appraisal U =Book vai~
VII. INVESTMENTS an d T RU STS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. Bangor Savings Bank Checking Account ASA (Bermuda) LTD Common Stock Health Care Service Group Fidelilty Trend Fund A A B A A Interest Dividend Dividend Dividend Dividend J J K K J T T T T T Microsoft Common Stock Norfolk Southern Common Stock Pepsico Common Stock Ameritas Life Insurance Corp Procter & Gamble Common Stock A A A A Dividend Dividend Dividend None Dividend J K J L K T T T T T
29. Nuveen Tax Adv Total Return Strategy Fund 30. 31. 32. 33. 34. CVS Common Stock Sunstone Hotel Investors (REIT)
Dividend None
K J
T T
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 - $2,500 t3 =$I00,001 - $1,0OO,000 ~ K =$15.001 - $50.000 O =$500.001 - $t.000.000 R -~ost (Real Estate Only) V =Other
C =$2.501 - $5.000 ~11 =$1.000.001 - $5.000.~00 L =$50.001 - $100.000 PI =$1.000.001 - $5.000.000 P4 =More than $50.000.000 S =Assessment W =Estimated
=$5.001 - $15.000 H2 =More lhan $5.000.000 M =Sl00.001 - $250.000 P2 =$5.000.001 - $25.000.000 =Cash Market
E =$15.001- $50.000
VII. INVESTMENTS and TRU S TS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
35.
A A
Dividend Dividend
K K
T T
36. AT&T Common Stock 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. Eagle Bulk Shipping, Inc. Common Stock Legg Mason ClearBridge Appreciation Mututal Fund IRA Legg Mason Clearbridge Capital and Equit Fund IRA (Comment) EuroPac Growth Mutual Fund
Dividend
A A
Dividend Dividend
K K
None None
J J
T T
2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
C =$2.50| - $5,000 HI =$1.000.001 - $5,000,000 L =$501001 ! $100,000 HI =$1,000100t - $5,000,000 P4 =More than $50.000,000 S =AssesSment W =Estimated
E =$t5,001 - $50,000 D =$5,00l - $15,0~) H2 =More than $5,000,000 ................ ~ ~aO61~i : .... P2 =$5;000i001 ~ $25;000;000 T-~ash Market :
VII. INVESTMENTS and TRU STS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of Jding instructions.)
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. McDonalds Corp. Common Stock 66. 67. 68.
Johnson & Johnson Common Stock A Dividend K T
Dividend
Sold
03/04/09
B A
Dividend Dividend
K K
T T
E =$15,001 - $50,000
(See Columns CI and 03) 3. Value Method Codes (See Column C2)
P3 =$25,ooo.ool - $5o.ooo,ooo
O ~$5001001 R =Cost (Real Estate Only) V =Other S--Asses~meni :: W =Estimated T ~ash Market
Date of Reporl I
Woodcock, John A. I
05/09/2011
VII. INVESTMENTS and TRUSTS - inco,.e, value, ,ra,~acao,~ a.a.dcs those olspo.se ..d depende.t children; see pp. 34-60 of filing instructions.)
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69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85.
Chevron Corp Common Stock US Bancorp Common Stock J.P. Morgan Chase Common Stock Zimmer Holdings Common Stock A A Dividend Dividend Nonq K K J T T T
None
A A
Dividend Dividend
K K
T T
Dividend
A =~ii000 or less
~i 001 y $2.500 K--$15;001 ; $50,000 O--$56600i .-$1 000000 R =Cost (Real Estate Only) ~ --0ther
C =$2.501 - $5 000
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
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86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99. 100. 101. 102.
Dividend
Sold
10/07110 K
1. Income Gain Codes: (See Columns BI and 1)4) 2. Value Codes (See Columns C1 and D3) 3. Value Method Codes (See Column C2)
A =$~,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 =$500.0~ 1 . $1.000.000 R =Cost (Real Estate Only) V =Other
C =$2.501 - $5.0~0 H1 =$I.000.001. $5.000.000 L =$50,001 - $!00,000 pl =$1,000,001. $5.000.000 P4 =More than $50,090,000 S =Assessment W -Estimated
D =$5.001 - $15.000 H2 =More than $5.000.000 M =$t00.001 - $250,000 p2 =$5,000.001 - $25.000.000 T=C~h Marke!
E =$15.001 - $50.000
VII. INVESTMENT S and TRU STS - income, value, ~a,~ocao,~ ancludes those olspouse and dependent children; see pp. 34-60 of filing instructions.) D NONE (No reportable income, assets, or transactions.)
103. 104.
F=$50;OOI~$1OO;OOO:G=$100~O0t~$1;O00;O00
J =$15,000 or less 5100i ~ $56i~0 N =$250,001 ~ $500,000 ..... O ~$500;001 2 $ !i~0;O00 .... P3 =$25,000.001 ~ $50,000.000 Q =AppraiSal R ~ost (Real Esta~ 0fily) U =Book valu~ .... ~ ~0ther :
Hi ~$1;0001001 ~ $5,000,000
=SS0i00t ~ $i001000 :
: S ~ssmen/ W LEstimated
T--@fi Ma;ket
Date of Rep6rt
05/09/2011
Item 11: Morgan Stanley Bank Deposits became the recipient of stock sales and dividends during the year. Accordingly, the transactions are described as a transfer and, as a number of transfers were made as stocks were sold and dividends received, the date of each transfer is not listed. The total amount of the transfers is reflected in the value code. Item 17: Last years report indicated that all shares of American Capital Income Builder Mutual Fund were sold. This was incorrect. The report should have listed a partial, not total sale. The remaining holding in this Fund is correctly listed in Item 17. Item 49: Legg Mason Capital and Income Fund is now known as Legg Mason ClearBridge Equity Income Builder Fund. Item 59: Northrup Grummon stock was sold on March 4, 2009 and the sale was inadvertently omitted from the 2009 report. The information on item 59 is accurate for the March 4, 2009 sale.
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.
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