G-o . ,0.10 FINANCIAL EPORT 2004 Calenar Year 203 (SU.S.C ......8. On the basis of inomation...
Transcript of G-o . ,0.10 FINANCIAL EPORT 2004 Calenar Year 203 (SU.S.C ......8. On the basis of inomation...
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Report Required by th<e Ethics,0.10 FINANCIAL DISCLOSURE REPORT in Government Act of ii 978 2004
Calendar Year 2003 (SU.S.C.app.§§ 101-111)
3. Date of Report 1. Person Reporting (Last name, Firnt name, Middle initial) 2. Court or Organization
Fitzwate:r, S:idney A U.S. District Court, N.D. Tex. 513/04
6. Reporting Period 4. Title (Article m Judges indicate active or senior status; 5. ReportType (check appropriate type) magistrate judges indicate full- or plll'lt-time)
0 Nomination, Date 1/1/0;I
U.S. Disllrict Judge -Active to0 Initial @Annual Q Flual
12/31103
7. Chambers or Office Address 8. On the basis of the :information contained in this Report and any
U.S. Couirthc1use modifications pertaining thereto, it is, in my opinion, in compliance
with applicable laws and regulations.
1100 Commt:rce St.; Rm. 1520 Dallas, T 'ira1 75242
Reviewing Officer Date
IMPORTANT NOTES: The instructions accompanying this fonn must be followed. Complete all parts, checking the NONE box for each pait
where you have no reportable information. Sign on last page.
I. POSITIONS. (Reporti1ig individual only; see pp. 9-13 of filing instructions)
!ill NONE - (No reportable positions.)
NAME OF ORGANIZA TIONIENTJiY PosmoN
1.
(Reporting individual only; see pp. 14-16 offiling instructions)II. AGREEMENTS.
NONE - (No reportable agreements.)
PARTIES AND TERMS
1.
R.epo] 5/3/04
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DESCRIPTION
FINANCIAL DISCLOSURE REPORT Name of Person Reporting
Fitzw::tter, Sidney A
Date of
ID. NON-INVESTMENT INCOME Reporting individual and spouse; see pp. 11-24 offiling instructions>
A. File1r's Non-Investment Income
NONJll: - (No reportable non-investment income.)
SOURCE AND TYPE
1.
GROSS INCOME {yours, not spouse\;)
B. Spo111s 1's Non-Investment Income- (Ifyou were married during any portion of the reporting year, please complete this section. (dollar amollltlt not uired 1:xcept for honoraria)
NONJB: - (No reportable non-investment income.)
1.
SOURCE AND TYPE
.
IV. .
RE.ll.fBURSEMEJ TS- transportation, lodging, rood, entertainment
Feb. 27-Mar. 1, Naslmlle, TN (airfare, hotel, transportation, food) tojudge First Amendment Center at Vanderbilt moot court competition
(Includes those to spouse and <liependent children. See pp. 25-27 of instructions.)
0 NONE - (No such repcmable xeimbursemcnts.)
SOURCE
1. The Freedom Forum, Arlington, VA (First Amendment Center, Inc., Nashville, TiiO
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spouse
NONE · (No reportable liabiilities.)
DESCRIPTION
1.
. --.
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•- i,
FINA11tlCIAL DISCLOSURE REPORT NameofPernonReporting
Fitzwater, Sidney A
Date of Report.
513/04
V. GIFTS. (Includes those to spiJuse and dependent children. See pp. 28-31 of instructions.)
N 0 NE · (No such reportable gifts.)
DESCRIPTION
I.
and dependent children. See pp. 32-34 of instructions.) VI. LIAlBILITIES. (Includes those of
B.
-
-
1 r trom diSclosure
part
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FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Rep mt
Page ,1 of 2 Fitzwater, Sidney A 513104
VII. INVESTMENTS =itnd TRUSTS- income, value. transcations (includes those oflhe spouse and dependent childn:n. See pp. 34-57 of ffiing instmclions.)
A.
D::scription of Assets (including trust assets)
Place "(X)" after each llSSel: ex.empt from prior disc!OSUR
Income duringreport!ngperiod
(l) (2)
Amow1t Type (e.g. Code I div. rent. or (A·H) int.)
c. Gross value at end of reporting period
(l) (2)
Value Value Code2 Method (J-P) Code3
(Q-W)
Transactions
(1) (2)
Type (e.g. Date: buy, sell. Mo11tb· merger, Day redemption)
d
n.
not exem
{3) Value
Code2 (J-P)
uring reporting period
pt
(4) (5) Gain Identity of Code! buyerfseller (A-H) . (if private
tra11s.,ction)
ONONl (No reportable incollKI., assets, ortr.tnsactions)
1. Certs. of Accrual on U.S. TNaSUry Secs. (See Part VIII)
-2. U.S .. Series EE Bonds (See Part VIII)
3. U.S.. Series EE Bonds
-4. Washington Mutual Investors Fund (1984 IRA-
Mutual Fund) -
5. Enon Mobil Corp. Common Stc•ck
-6. Exx1cm Mobil Corp. Common Steck
7. Ammican Century Income & Gruwth Fund
-8. Am:rican Century Income & Grc1wtb Fund
A Interest
None
None
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
K T
J T
J T
J T
J T
J T
J T
Redeem S/15
Redeem 616
J
J B
9. The M()NY Group Inc. Cormnon Stock
--10. Coc:a C.ola Co. Common Stock
-11. Coca Oola Co. Common Stock
12. UBS B1lllk USA Deposit Acc;t. (See Part VIII)
-13. 3M Corp. Common Stock
--14. J.P. Morgan Chase & Co. CctmDl>n Stock
-15. Trust# 2 (Nos. 15-22) (See Part YIIX)
-16. UBS Resource Mgmt. Acct (Mny Mkt
Portfo!iio XSee Part VIII) -
17. Nu· en Large-Cap Value Fund (See Part VIII)
-18. CalamC>S Growth Fund
None
A Dividend
A Dividend
A Dividend
A Dividend -
A Dividend
c Dividend
J T
J T
J T
J T
J T
J T
M T
Donate part
Sell 11/12 j
1. lncome/G:ain Codes: A = $1,000 <Jr less B = $1,001 $2.SOO C = $2,501-SS,000 D = $5,001-$15,000
(See-Coluimns Bl and D4) F =$50,001-$100,000 G = $100,001-$1,000,000 'R1 =s1.ooo,001-ss.ooo,()()Q H2 =More thaTI $5,000,000
2. Value Codes: J = $1.5,000 or less K = $15.001-$50,000 L = $50,001-$100,000 M = $100,001-$250.000
(See Columns Cl anoi D3) N = $250,000-$500.000
P3 = $2.5,000,001-$50.000,000
0 = $500.001-$1,000,000 Pl
P4
= S.l,000,001-$5,000,CIOO
= $More than $SO,OOO.,OOO
P2 = $5,000,001-$25,000,000
_) 3. Vnlue Met:bodCodes Q =Appraisal R = Cost (Real Estate Only) S = Assessment T =Casll/Market
(See Column C::) u =Bool:Va!ue v =Other W =Esrimated
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UE. 81
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II lrOm GJsclosure
I
. FINANCIAL DISCLOSURE REPORT Name ofPerson Reporting Date of Report
.Page 2 of2 Fitzwater, Sidney A 513104
VII. Vli:STMENTS and TRUSTS-income. va1ue. transcations (includes those ort1te spouse 11111d dependent children. See pp. 34-s1 or ttling instmctions.>
-
19.
20.
21.
22.
23.
. A.
scription of Assets Iuding trustassets)
Place fron
ap<)" after each asset exempt 1 prior disclosure
'Loird A bbett Affiliated Fund -
Loird A bbett Bond Debenture F1mdl
-
MFSFtcsearch Bond Fund
-
'actical Allocation Fund
UBS: Ba IIlk USA Deposit Acc:t (S:cc Part VIII)
B. hicome during
reportjng period
(I) (2)
Amount Type (e.g. Code l div. rent. or (A-H) inL)
A Dividend
c. Gross value at end of reporting period
(1) (2)
Value Value Code2 Method (J·P) Code.3
(Q-W)
I T
D . Transactions during reporting period
(1) not exempt
(2) (3) Type (e.g. Dale: Value buy, sell, Month- Code2meiger, Day (J-P)redemptioti)
(4)
Gam Code! (A-H)
(S) ldentityof buyer/seller (ifpi'.ivate transactio11)
24.
25.
26.
27.
28.
UBS Ba lllk USA Deposit Acct (Sec Part VIII)
Bank of ·America (Certificate of Deposit)
-
Cala •; Growth and Income Fund (See Part VIlI) mo.
-
Lord At1bett Affiliated Fund (Set Part VIII)
-
Lord At1bett All Value Fund {Set Part VIII)
A Dividend
A Interest
A Dividend
A Dividend
A Dividend
K T
K T
J T
I T
J T
29. MFS Re:search Bond Fund (S Part VIII) A Dividend J T
30. ·UBS S&:P 500 Index Fund A Dividend K T
I. Jncome/Gain Codes,: A = $ l,000 (If less B = $1,001-$2,SOO c = $2.SO 1-$5,000 D = $5.01()1-$15,000 E = $15.001-$5(),000
(See C'.ohmrms Bl and 04) F = $50,001··$100.000 a = S100.00l-$l,000,000 HI c Sl,000,001-$5,000,000 H2 =More than $5,000,000
2. Value CodEs: = $15,000 or less K = $15.001-$50,000 L = $50,001-$100,000 M = $100,001-$250,000
(See Columns Cl awl 03) N = $250,00•:J-$500.000 0 = $500,00J-$1,000,000 Pl = $1,000,00J-$5,000,0JO P2 = $5,000.001-$25,000,000
J. Va.iue Method Codes
P3 = $2:i,000 .. 00!-$50,000,000
Q =Appraisal R = Cost (Real Estate Only)
P4
s
= $More than $50,000,000
= Assessment T = Cash'Market -/ (See Cohnnn G2) u =Book Value v =Other Vl =Esrimaled
B(l ).
. :FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report
Fitzwater, Sidney A
VIII ADDITIONAL INli"ORMATION OR EXPLANATIONS (IndicatepartofReport.)
Part I
This year I have not reported any positions. As reflected in Part VIII of my 2002 Financial Disclosure Report, after March 27, 2003 I was no longer custodian under the Texas Unifonn Tra.nsters to Minors Act.
Part VII, Item No. 1
No gain is shown in colunm D(4) because gain has been realized in the form ofannual income and has been reported each year as interest income,
5/3/04
Part VII, Item No. 2
In column 0(4) the "gain" equals Ile ac:cmed interest paid at the time the bonds were redeemed. Were the "gain" reported in column B(l) as interest income, the amount code would remain "B," and colunm B(2) would change from "None" to "Interest."
Part VII, Item Nos. 12, 23, and 24
These items were reported in my 2002 :Financial Disclosure Report as "Paine Webber Resource Mgmt. Acc:t. (Money Market. Acct.)" and are reported in this report as "UBS Bank USA Deposit Acct." This is due tO a change in form of the same account. Additionally, "Paine Webber" is now known as "UBS Financi:al Services Inc."
·Part VII, Item Nos. 15-22 (Trust# 2)
The type of income disclosed for Trust# 2 is "Dividend." The form does not allow the filer to report multiple types of income. The income includes dividends and capital gains. All income has been reported in colunm B(l).
- is !the trustee and beneficiary of Trust# 2 and is located in Dallas, Texas.
Part VII, Item No. 16
This item 'IVllS reported in my 2002 Financial Disclosure Report as "Paine Webber Resource Mgmt. Acct. (Money Market Acct.)" and is reported in this report as "UBS Resource Mgmt. Acct (Mny Mkt Portfolio)" due to a change of name. Due to space limitations, "UBS Resource Mgmt. Acct (Mny Mkt Portfolio)" is 1m abbreviation for "UBS Resource Management Account (Money Market Portfolio)."
Part VII, Item No. 17
·No gain is sho1wn in column D(4) because this asset was sold at a loss.
Part VII, Item No ..26
This item was reported in my 2002 Financial Disclosure Report as "Calamos Convertible Growth and Income Fund" and is repomd in this report as "Calamos Growth and Income Fund" This is due to a change of name.
Part VII, Item Nos. 27, 28, and 29
The type of income disclosed for these assets is "Dividend." The fonn does not allow the filer to report multiple types of income. These fimds include income in the form of dividends md/or capital gains earned by the funds and dislributed to fund owners. All such income has been reported in column
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Signa
. ,,
Name of Person Reporting D3te of J. INANCL4.J. DISCLOSURE REPORT
Fitzwater, Sidney A 5/3i04
IX. a:RTIFICATION.
I certify that all information given above (including informationpertaining to my spouse and miuor or dependent children, if any) is accurate, true, and compllete to the best of my kiiowledge 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. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
NOTE: ANY' INDIVIDUAL WHO KNOWINGLY AND WILFULL y FALSIFIES OR FAILS TO FILE nns REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SAN:CTIONS (5 U.S.C. app. § 104)
FILING INSTRUCTIONS
Mail signed original and 3 additional copies to:
Comtiiittee on Financial Disclosure Administrative Office of the United States Courts
Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544