Charles L Smith Jr Financial Disclosure Report for 2009

8/3/2019 Charles L Smith Jr Financial Disclosure Report for 2009

1/10

I . 4 o 1 0 FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b ) , th e E t hin Government Act of 1978Re,:~ / 2 0 1 0 FOR CALENDAR YEAR 2009 (5 ~s.c. ,rr,., ~ . ~ "tol-tt~)I. Person Reporting (last nanzc, first, middle initial) 2. Courl or Organization i 3. Date of Report

Smith, Jr.. Charles L. Northern District of Alabama 05/13/2010

4. Title (Article Ill judgc~ indicate active or ser.Io~ status; 5~. Report Type tchcck appropriate type) 6.. Reporting Periodmagistrate udgcs indicate full- or par~-t~)ncl

[] Normrtation. Date 01/01/2009

U.S. District Judge-Active [] inilial [] Annual [] Final to12!31:2( 09

5b. [] Amended Report

7. Chambers or Office Address 8. On the basi* of the information contained inthis Repor~and anymodifita6ons pertaining thereto,i t s , in my opinion, in compliance

United States Cotn~ho~.lSe -,sith zppli,:ttble la,~ s and regulations.

101 llolmes AvenueHuntsville, Ala. 35801 Re,,ie~ing Officer: ._ Dnte

L ~ ffP O R TA N T N O T E S :The instructions accompanying this form must be followed. Complete all parts,checl, ing the NO NE box jbr each part )*here you hav e no reportable information. Sign on last page.

1 . P O S I T IO N S .Reporting inUi,,idual only: see pp. 0-13 Of ]71ing i ...... " t i o n s . ~

~ NONE(~ro reportable positio~Ts.)

POSITION NAME QF QRGANIZATION/ENTITY

1. Administrator Probate estate of I

2

3.

D N O N E(No reportable agrcc:ments.)DATE PARTIES AND TERMS

I. 19S 1 Judicial Retirement Fund of Alabama (Retiremem fund of former employer, State of Alabama), no control

2.1981 Madison County, Alabama Retirement Fund (Retirement fund of former em ployer, Madison CounD). no control


2/10

DISCLOSURER E P O RT Name of Person Report ing Date of Report II N A N C I A LSm th, Jr., Charles L.age 2 of 10

I !I . N O N - IN V E S T M E N T I N C O M E . IR e p o r a~indi,,idual and sp .... ; see pp- ~ 7-24 Of filing i ... .. .ions.)

A. Fi ler s N on-Inves tment Income

[ NONE (Noreportable tzon-investment ittcome.)DATE SOIIRCE AND TYPE INCOME_

(yours, not spouses}

1. 2009 Slate of Alabama Retirement $38,676.41

2. 2009 Madison Cotmty, Alabama Retirement $12,144.0{t

3.

4.

B . S p o u s e s N o n - I n v e s tm e n tIncome -lf y~uwere married during a~l* portion of the reporring )ar. complete this sectiott(Dollar amount not required ~cepl fi~r t~moraria.)

~ N O N E(No reportable nou-investment income.)~ SOURCE AND TYPE

I. 2~9 Madison Co ~, Alabama Commission - S~la&"

2.

3.

4.

IV. R EIMBUR SEME N TS . .. .. ..

NON E(No reportable reimbursements.)

SOl JRCE DATES LQqTATION PURPOSE ITEMS PAIl-) OR PROVIDED

I.

2.

3.

4.

5.


3/10

FIN,~taNCIAL DISCLOSURE REPORT ~ ..... f P e r s o n R e p o r t in g

I

D a i : e o f R e p o r l

Page3 of 10 Smilh, .Jr,, Charles L. 0511312 t ) 10

~ NONE 6Voreportable g~s.)

SOURCE I)ESCRIPTION ~

I.

3.

4.

5.

[] N O N E()Vo r eportable liabilities.)

CRFDITOR DESCRIPTION VALUE CODE

1 . Bank of Am erica Credit Card J

2.

3.

4.

5.


4/10

DISCLOSURE R E P O RT N a m e o f P e r s o n R e p o r t in g I D a t e o f R e p o ~FINJkNCIALSmith, Jr.. Charles L.age 4 of1 0 05/13:2010

V I I . 1 N V E S T M E N T Sand TRUSTS- i , . . . . . . . lo, . , . . . . . ., ~ n s(Includes thoseof sp ...... d d e p e n d e n tc h i ld r e n ; s e e p p . 3 4 - 6 0o / l i l i n ginstruction~)

[~ NONE income, assets, or trat~actions.)No reportable

Dew,rip, ion of Asse~s ~ Income during ~ Gross ~alu m end Transaction s dunng re~,~mg pe6od

(including ~st .....) [ r~o~lng pe~od [ o f rcpo~ing ~od

Value :: G ain ~ Idem i~ofP l a c e " ( X ) " a f f~ e a c h a s s e t t ~ n o u n t T)9~ (e g, V a lu e V a lu e T)oe leg, D a t ee x e m p t f r o m p r i o r d i s c lo s u r e C o d e I d i v. , r e ~ L C o d e) Mc~od b u y, s e l l , m m , d d : ~3 , C ~ d e 2! C~e I b u y e r / se l l e r

(A- I t ) or in t . ! ( J - P ) C u d e 3 r c d e m p t i o n ) ( J - P ) ~ ( A - H ) (ifpd~t

I. U.S Savings Bonds-Series EE A In t e re s~ I T

2. Regions Financial Corp. B Dividend J T

3. Citi Bank Money Fund A t n t e re g t M T See Part Vlll

4 . Meadowbrook, Ltd. 4.75% Int. in limited None Jpartnership

5. Farm; Madison County. Ala. D Rent (Crop) P I W

6. Farm Rental House: Madison Count), Ala D Rent (House L W

7. Crown Life Ins. - Cash Value A Dividend J T

8 Apple Computcr, lnc. None K T

9. Clorox Co. A Dividend K T

1 0 . ~ 457(b) Deferred Cutup Account:

I I. -- American Century Value Ftmd A Dividend K " 1

1 2 . -- Fidelity" Contrafund C Dividend K T

1 3 . -- Nationv,ide Fixed Account C Interest k l

1 4 . -- Nationwide Large Cap Growth Fund A Dividend L 1

1 5 . -- S &P 500 Index Fund A Dividend J T

1 6 _ iMadison Co. AL Retirement Fund B Interest K T

1 7 . Am Family Broadcasting Corp (Retirement~ None J T

P 3~$25 .~, t~t -~ 5 o , 0 0 ~ , 0 0 , 0 P4 =M~,re tha.a$50 , 000 , 000


5/10

N a m e o f P e r s o n R e p o ~ t ~ n g D a t e o f R e p o r tFIN~CIAL DISCLOSUR E R EPOR T [ Smi th . J r., Cha r le s L .Page 5 o f I0

VII. INVESTMENTS andTRUSTS- i~ ........ ~. , ,~ .....~,ns Ctnct.ae~ those o/~p ......~ a~n~nt children; see pp. 3 4 - 6 0of f!li~e ins~ucaon&)

NONE (No r~Tortable income, assets, ~r transactiot:s.)

D e s c B p t i o n o f A s s e B [ Income d~ing Gross value at end I Transactions dunng re~ing ~6 od( i n c l u d i n g t ru s t x ~ se t s )

P lace ~ ( X ) " a [ l e r eache x e m p t ~ o m p r i o r d i s c lo s u r e

1 8 . Fix Co~ Intl., Inc. None J T

1 9 . Sanmina-SCI Corp None J T

20. PACT (Ala. Prepaid Affordable College A I n t e r e s t K TTuition plan}

2 1 . Scholars Choice (Section 529 Plan)- No B Dividend J TControl

2 2 . Easy S~reet Investors Corp.: None K T

23. -- Davis Selected - Large Cap -/,lone),Manager Acct

2 4 . -- Johnson & Johnson

2 5 . -- United HealthcareCorp (formerlyUnitedhealth G roup lnc)

2 6 . -- Pepsico, Inc.

2 7 . -- First Horizon Nat. Corp (form~lyFirstTenn Nat.Corp)

28. -- Cisco Systems, Inc.

2 9 . --Exxon Mobil Corp

3 0 . -- Alliant TechSystems, Inc.

3 1 . --St. Joe Company

3 2 . -- United Technologies Corp.

3 3 . -- Lowes Companies, Inc.

3 4 . -- Goldman Sachs Group, Inc.


6/10

FINAN C I AL DI SC L OSUR E R E PORT Nam eofP . . . .. R e p o r t i n g D a ~ e o f R e p o r t

Page 6 of I 0 Smith, Jr. Charles L. 05/13/2010

VII. INVESTMENTS a n d TRUSTS-i ......... t ..........., z o , ~(Includes thoseof ~;p ..... nd deptndent children;seepp.J 4 - 6 0o]" f ilimg i~uCdon~)

~ NONE income, assets, ttanSaCliot~.)No reportable

Description of Asse~ Income during Gross ~ alue al end ~ T~nsactio~ during ~epo~ing period

P l a c e t in c l u d i n g " ( x )" a f t e r~ S t e a c h ~ S e ~ ) ~ s e t

repo~iag period o~ rcpo~ing pe~od ]

mm dd~I ~IOUlI[ T)3)e (eg., Value Value :, Type [e g Dale Valu~ ~ Gain Identibof~ exempt ~m prior ~losure

Code I div.. renk Code 2 Method : buy. ~11. . ,~ . Code 2 Code I buyer/seller~ (A-H) urine) (J-P) Code 3 redemption) (J-P) ~ (A-H) 0fPrivate

(O-g3 : ~ ...... i ir~sact*on)

35. -- Lincoln NationaICo~.

3 6 . - - P r in c ip a l F in a n ci al G ro u p

3 7 . - - A d t r a n , I n c .

3 8. - - C a l a m u s S tr a t e gic T R F u n d

3 9 . -- Calamus Money Manager Account

4 0 . -- Sprint NexTelCorp.

4 1 . -- Schwab Charles Copr New Sold 04/17/09 K D

4 2 . -- Syntrolemn Corp.

4 3 . -- Cardiac Science Corp.

44 . -- Alpine To~al Dynamic

4 5 . -- Calamos Global Dynamic

] a -6 . -- Calamus lntematloual

47 -- (?olonial BancGroup Inc. Sold 1 0 " 1 5 / 0 9 J A

4 8 . -- IShares MSC1 Canada Index Buy 1 3 5 , 2 1 / 0 9 K

49 . Education IRA No. I :

5 0 . -- CitiBank NA B ank Deposit (formerly SB A Interest J TMoney Fundo)

5 1 . -- Coca Cola Bottling Co. A Dividend J " [


7/10

F IN A N C I A L D IS C L O S U R E R E P O R T ~ .... f P e r s o n R e p o r l in g [D , t e o f R e p o r t

Page 7 of 10 Smith. Jr., Charles L.]

0 5 . 1 3 / 2 0 l 0

VII. INV-ESTMENTSand TRUSTS - i. ....... ,~ ,tr ......ao,~santuaes those of spo .....a depend~ntchild ........ p l ~ 3 4 - 6 0of/fling instructlons~)

--] NONE(No reportable income, assets, or transactions3

.... ]~ B ....................... D. - ............A. C.D e s c r i p tm n o f A s s e k ~ [ I n c o m e d u r i n g G r o s s v a l u e a l e n d Transactions during re~ning ~fiod(including ~st ~sec~) i r e p o a i n g p e 6 o d of re~ing period

~,~ ~ ,,~ {:~ {,~ [ ~......... ~.~---]-~ .... ~ .....Pl a c e "{ X)" a f l e r e a c h ~ se ~ ~ A m o u n t T}~e(eg, Value Value T,vele.g., [ Date Value [ Gain ~ Idemit~of

c ~ e m p t ~ o m p r i o r d i s c lo s u r e : C o d e I d w. . r e n k C o d e 2 M eth o d b u ~ . s e l l ,]m m " d & ~ 3 "C o d e 2 [ C o d e 1~buyer l se l [ c r

~A-rr~ orint~ ( S - P ) Code3 red~pton)/ (J-P) ]tA-II

[ lifpnv~tc

( Q - W ) , ~ ] ~ t r a n sa c t i o n l

5 2 . -- Adtran, Inc. A Dividend J T

5 3 . -- Oversu~ck.Com, Inc. None J T

54 . Education IRA No. 2:

5 5 . -- Legg Mason Parmers (formerly SB A Dividend J TAggressive Growth Funds)

5 6 . -- CitiBank NA Bank Deposit {formerly SB A I n t e r e s t J TMoney Funds)

5 7 . -- Adtran, htc. A Dividend J T

5 8 . -- Overstock.Com. Inc. None J T

5 9 . Education IRA No. 3:

6 0 . -- Legg Mason Partners Iformerly SB A Dividend J TAggressive Gro,.~th Ftmds)

6 1 .-- CitiBank NA Bank Deposit (lbm- ~erly SB

A Interest JT

Money Funds)

6 2 . -. Adtran, Inc. A Dividend J T

6 3 . -- Overstock.Corn. Inc. None J T

6 4 . Education IRA No. 4:

6 5 . -- i.egg Mason Partners itormeHy SB A Dividend J TAggressive G~owth Fundsl

6 6 . -- CitiBa~ NA B ank Deposit [formerly SB A I n t e r e s t J TMoney Funds)

6 7 . -- Adtran, Inc. A Dividend J T

68. -- Overstock.Corn, Inc. None ! T


8/10

FINANCIAL DISCLOSURE REPORT N ....f P . . ..a , p a . i n ~O a ,e o f R e p o

Page 8 of 1 0 Smith, Jr., Charles L. 0 5 . 1 3 / 2 0 1 0

VII. INVESTMENTS and TRUSTS - inco~e, ~.~e, ~r ......s ( Inc l ud es t ho s eof sp .... nd dependentc h i l d r e n ; s te p p . 3 4 ~ 0of ~ling ~s~n)

N O N E(No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s ~ t s Income dmng G r o s s v a l u e a t e n d/ Transactmns duong re~ing ~riod(including I~t ~sets) r~o~ing period o f t e p o a i n g p e r i o d[


9/10

FINAN C I AL DISC L OSUR E R E PORT ,~ .... f P ..... R e p o r t i a g D a t e o / R e p o r t

Page 9 of 10 Smith, Jr.. Charles L. 05/13/2010

V I II . A D D I T IO N A L I N FO R lVlAT IO N O R E X PL A N AT I O N S.

Par~ V~line 3: The increase m the value of this asset over the value reflected in the 2008 FDRis due t]o the fact Ihat this is the investme nt account intowh ch deposited most of the funds she inherited during 2009 from the estate of her ~


10/10

FIN]ANCIAL D ISCLOSURE REPORT ~ .... f P ..... Reporting ID ~ ~ e o f R e p o r t

Page 10 of 10 Smith, Jr., (harles L.I

0 5 / 1 3 / 2 0 1 e

IX. CERTIFICATION.

I certify that all information given above (including inform ation pertaining to my spouse and minor or depen dent children, if a~y) isaccurate, true, and complete to the best of m y knowledge and belief, and that any information not reported was v~ ithheld because it met applicable statutprovisions permitting non-disclosure.

1 further certify that earned income from outside employment and hon oraria and the acceptance of gifts which have been re ported are incompliance with the prov isions of 5 U.S.C. app. 501 el. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL WItO KNOW INGLY AND W II,FULL\ FALSIFIES OR FALLS TO FILE Tills REPORT MAY BE SUBJECT TO CIVIl,AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies

Committee on Financial DisclosureAdministrative Office oflhe United States CourtsSuite 2-30 IOne Columbus Circle. N.E.Washington, D.C. 20544

Charles L Smith Jr Financial Disclosure Report for 2009

Documents

Transcript of Charles L Smith Jr Financial Disclosure Report for 2009