iddle it of Tenesee - judicialwatch.org · t, DC 2054 leta . Taugr US. :t udge 615 736-7143 x 615...
Transcript of iddle it of Tenesee - judicialwatch.org · t, DC 2054 leta . Taugr US. :t udge 615 736-7143 x 615...
Washington, DC 20544
Aleta A. Trauger US. Distri<:t Judge
615 736-7143 Fax 615 736-7156
UNITED STATES DISTRICT COURT
Middle District of Tennessee
August 2, 2004
825 a.s. Courthouse 801 Broadwny
Nashville, Tennessee 37203
Honorable Mary M. Lisi, Chair Judicial Conference of the United States
Committee on Financial Disclosure One Columbus Circle, N.E.
Re: Amendment to 2003 Financial Disclosure Report
Dear Judge Lisi:
Thank you for your letter of July 27, 2004. Please consider this letter as an amendment to
my Financial Disclosure Report for calendar year 2003. ·
With regard to Part m B., line 1, my hu8band is "self-employed" under the instructions to
this part in that he is a partner in a law firm partnership, the name of which is Trauger, Ney & Tulce. I hope this answers your inquiry. Please feel free to contact me should you need further information.
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______________________ _ Date. _____ _
POSITION NAME Of ORGANIZATION/ENTITY
PARTIES AW TERMS
0 --..t
"Tl 0
F11
A0-10
Rev.1/2004
FINANCIAL DISCLOSURE REPORT
1. Person Reporting (Last name, First name, Middle initial)
Traugcr, Aletll A
4. Title {Article III Judges indicate active or senior status;
magistratejudges indicate full- or part-time)
U.S. District Ct.Judge-Active
Calendar Year 2003
2. Court or Organization
U.S. District Court (MD Tenn)
5. RcportType {check appropriate type)
Q Nomination, Date
0 IDitial @ Amwal 0 Final
Report Required by th'e Ethics
In Government Act of 1978
(5 U.S.C. app. §§ 101-111)
3. Date of Report
05/13/2004
6. Reporting Period
01/01/2003
to 1213112003
7. Chambers or Office Address
825 U.S. Courthouse
8. On the basis of the infonnation contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance
with applicable laws and regulations. 801 Broadway
Nashville, Tennessee 37203 Reviewing Officer
IMPORTANT NOTES: The fustructions accompanying this fonn must be fo11owcd. Complete all parts, checking the NONE box for each part
where you have no reportable information. Sign on last page.
1 POSmONS. (Reporting individual only; sec pp. 9-13 offiling instructions)
0 NONE - (No reportable positions.)
I. Member, Board of Trustccs Cornell College, Mt. Vernon, Iowa
2. Member, Board of Trustees SL Bernard Academy
IL AGREEMENTS. (Reporting individual only; see pp. 14-16 of tiling instructions)
NONE - (No reportable agreements.)
0-1. CJ> :0
r- o- (")en% -c::.> m;oZ -
Nm2 "° < o> -0 ..,, ..- :s: rn
- 0 2flt
SQURCE AND TYPE GROSS INCOME
SQURCEANP TYPE
SOURCE DESCRIPTION
FINANCIAL DISCLOSURE REPORT Name of Person Reporting
Trauger, Aleta A
Di!le of Report .
05/13/2004
Ill. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 17-24 of filing instructions)
A. Filer's Non-Investment Income
NONE (No reportable non-investment income.) -
I.
(yours, not spouse's)
2.
B. Spouse's Non-Investment Income-(Ifyou were married during any portion of the reporting year, please complete this section. (dollar amount not required except for honoraria)
D NONE (No reportable non-investment income.) -
1. 2003 Income from law firm partnership
2. 2003 Distn1>ution from-estate
IV, REIMBURSEMENTS -transportation, lodging, food, entertainment.
(Includes those to spouse and dependent children. See pp. 25-27 of instructions.)
NONE - (No such reportable reimbursements.)
1.
. .
SOURCE PESCRIPTION
DESCRIPTIQN VAL1JEC0PE
FINANCIAL DISCLOSURE REPORT Namc ofPcrsonRcporting
Traugcr, Aleta A
Date of Report
05/1312004
V. GIFTS. (Includes those to spouse and dependent children. See pp. 28-31 of instructions.)
NONE (No such reportable gifts.)-
l.
VI. LIAB1IlT.IES. (Includes those of spouse and dependent children. See pp. 32-34 of instructions.)
D NONE (No reportable liabilities.) -
CREDITOR
l. SunTrust Bank Mortgage on law flIDI building (joint liability with 4 other partners)
2. SunTrust Bank Lines of credit for law finn (joint liability with 4 other partners)
0
K
lf
B D
K
3.
7.
. - FINANCIAL DISCLOSURE REPORT Pag 1of3
Name of Per5on :ReP<>rting
Trauger, Aleta A
Date of Report
05/13/2004
VIl. INVESTMENTS and TRUSTS - income, value, transcatioos (includes those of the spouse and dcpcodent children. See pp. 34-57 of filing instructions.)
A. B. c. D.
Description of Assets (including trust assets)
Income during reporting period
Gross value at end of
reporting period Transactions during reporting period
(1) (2) (l) (2) (I) not CXC11111 from disclosule
Place "(X)" after each asset exCJl1)t from prior disclosw-e
Amount Code 1 (A-H)
Type (e.g. div. renL or int.)
Value Code2 (J.P)
Value Method Code3 (Q-W)
Type (e.g. buy, sell, merger, redeq>tion)
(2) Date: Moalil-Day
(3) Value
Codc2 (J-P)
(4) Gain Code 1 (A-H)
(S) Identity of buyer/seller (ifprivate transaction)
DNONE (No repor1able income, assets, or baDSlctions) '
1. Acc'ts. at SunTrust Bank, Nashville, TN B Interest M T
2. The Equitable All.A. Group IR.A E Interest L T
Robertson Stephens Emerging Growth Fund None M T
4. Covc;utry Health Care Inc. common stock None 0 T
s. Guilford Co., NC farmland B Rent N w
6. Cash surr. value NW Life policy None K T
Cash surr. value of2 NW Life policies None L T
8. Parnassus Fund B Dividend K T
9. Union Planters common stock B Dividend K T
10. Interest in law firm bldg. None N w
11. Profit sharing plan-Benefit Consultants Grp & None 0 T Divers. Trust
12. Fidelity Advisor Equity Growth Class T Fund None K T
13.
14.
Aintrce Capital Acc't. - IRA a) Pershing Gov't. Acc't.
Knox County, TN munic. bonds
A Interest
None
K
K
T
T
15. Rutherford Co., TN gen. oblig. bonds None K T
16. Ingram Micro, Inc. common stock None J T
17. ITECH Partners, LP. None L w
18. Promissory note from Paul C. Ney, Jr. None L T
I. IncomefGain Codes:
(Sec ColunmsBt and 04)
2. Value Codes:
(Sec Co\unms Cl and 03)
3. Value Method Codes
A - Sl;OOO orless
F - SS0,001-$100,000
J -s1s,ooo orless
N = $250,000-SSOO,OOO
P3 = $25,000,001-SS0,000,000
Q =Appraisal
G
0
R
= Sl,001-$2,SOO
· =:$100,001-Sl;OOO,OOO
= S15,001-SSO,OOO
= SSOO,OOJ"Sl,000,000
= Cost (Real Estate Only)
C =,$2;501-SS,OOO
Hl ..·51,000,00lJiS,000,000
L SSO,OOJ-S!00,000
Pl =:Sl,000,001•$5,000,000
· P4 = .SMore than £50,000,000
s = Assessment
= $5,001-S 15,000
H2 =Mon: lhan SS,000,000
M = S!00,001-$250,000
P2 = S5,000,00l ·S25,000.000
T = Casb/Markct
E = $15,001-SSO,OOO
If disclosure
(4) (S)
-
(1)
(e.g.
33.
,,. FINANCIAL DISCLOSURE REPORT D ate of Report Name of Pers0n Reporting
· Page2 of3 Traugcr, Aleta A OS/13/2004
. VIl. INVESTMENTS and TRUSTS - income, value, transcations (includes those oflhe spouse and dependent cluldren. See pp. 34-57 of filing instructions.)
A. B. c. D. Income during Gross value at end of Transactions during reporting period
Description of Assets reportingperiod reporting period (including ttust assets) not ex from
(1) (l) (1) (2) (2) (3)
Type (e.g.Place "QC)" after each asset exempt fromprior disclosure
Amount Type Value Value Dall:: Value Gain Identity of Code2 Mdbod buy, sell, Month- buyer/sellerCode I div. rent. or Codc2 Code l
(A-H) int.) (J-P) Codc3 merger, Day (ifprivaU:transaction)
(J-P) (A-H) (Q-W) )
19. Moore County, NC timber land None M w
20. SkillSoft PLC f/kla SmartForce PLC None J T
21. Qualifacts Systems, Inc. None M w
22. Metro Nashville Electric Revenue bonds B Interest K T
23. CP it'ool One, LLC None K w
24. Bank of America Corp. A Dividend K T
25. Duke Energy Corp. A Dividend J T
26. Exxon Mobil Corp. A Dividend K. T
27. Jefferson-Pilot Corp. c Dividend M T
28. Occidental Pete Corp. A Dividend J T
29. Piedm on t Natural Gas Co. A Dividend J T
30. Progress Energy Inc. A Dividend J T
31. V eriz.on Communications A Dividend J T
32. Metro Nashvtlle Electric Service 1.ero Coupon None K T Bonds
TN Housing Development Agcy. Homeownership B Interest K T Bonds
The Providence Service Corp. Common Stock None sell 8/18 M G34.
35. The Providence Service Corp. (2 notes) D Interest ex for stock 8/18 M G
36. The Camelot Schools, LLC (2 n otes) None M T
1. lnconE/Gain Codes: A = 1.000 or Jes& B = Sl ;00l,$2;SOO c -=S2so1 ss.ooo n ='.:SS.001-s1s.ooo ll -=·s1s,001 so;ooo ·
(Sec Cohmms Bl and 04) f ·•iS0,001-$100,000 G ·-'$100,001-Sl;OOO,OOO 'Hl s1;000,001-ss;ooo,ooo m =Morethan'SS;ooo,ooo
2. ValueCod:s: J -SlS,000.orless K • SlS,OO! SS0,000 L ·='"SSD,001-$100,000 ){ s100,001.:siso,ooo
(Sec CollDIIDS Cl and 03) N =$250,000.:SSOO,OOO o =:ssoo,001 s1.ooo;ooo Pl s1,ooo,001 s;ooo,ooo P2 • ., ss,ooo,001cm,ooo,ooo
P3 =$2S,000,0Cll-$50,000,000 P4 =Nore than $50,000,000
3. Value Method Codes Q = Appraisal R - Cost (Real Estate Only} S = Assessm:nt T = Cash/Market
A.
Gain
A ll •D :E
F 'G
K 1. M
s
reporting period
(I) (3) (4)
FINANCiAL DISCLOSURE REPORT Date of Report Name of Person Rep0riing Page3 of3 Trauger, Aleta A 05/1312004
- income, value, transcations (includes those ofthe spouse andclepcndentclu1drcn. Seepp. 34-57 offiling instructions.)· VII." JNVESTMENTS and TRUSTS
c D.B. Income during Gross value at end of Transactions during reporting period
Description of Assets reporting period (including trust assets)
If not exempt from disclosure(2) (2) (I)(1)
(S)(2) Place ·w· after each asset cxaq>t Amount fiomprior disclosure Code!
(A-H)
37. The Providence Service Corp. common stock
38. Centennial Money Market (A.G. Edwards) (X) A
39. Elizabethton, TN water & sewer revenue bonds
Type (e.g. div. rmL or int.)
None
Interest
None
Value Codc2 (J-P)
J
K
Value Method Codc3 (Q-W)
T
T
Type (e.g. Date: buy, sell, Month· merger, Day redemption)
cxcbglbuy 8/18
buy 1116
Value Codc2 (J-P)
Code! (A-H)
Identity of buyerfsellcr (ifprivatetlaDslction)
M
K
1. Income/Gain·Codcs:. c SI,000-'!"less .. Sl,001-$2,500 c ccS2;50!-l5,000 c$5,001-S1 .ooo =SIS,001"$50,000
(Sec CohmmsBl ml 04) = sso,001-srno;ooo s100,001"s1;ooo,ooo .HI. St;000,001-S5;000,000 H2 =More than SS,000,000
2. Value Codes: J .. SI 5,000 orless = SlS,001.:.SSO,OOO • SS0,001·S100,000 ... SI00,001 $250,000
(Sec Colmms Cl and D3) N .. $250,000-$500,000 0 = $500,001-Sl,OOO,OOO ·Pl =Sl;000,00l-S5.000,000 P2 "'SS,000,001."$25;000,000
P3 = $25,00Q,OCH-$50,000,000 -P4 = lMorc than SS0,000,000
3. Vallie Method Codes ,,.. _ _ ,..._1._,...,,\
Q Tl
=Appraisal """''D..uJ... Valu,.
R
v
.. Cost (Real &tate Only)
= 'W
= Assessment
=cEstimated
T = Casb!Market i
__J
FINANCIAL DISCLOSURE REPORT Name of Person Reporting
Trauger, Aleta A
Date of Report
OS/13/2004
VIlI. ADDffiONAL INFORMATION OR EXPLANATIONS (Indicate part of Report.)
No. 10. Not taking into account the outstanding mortgage.
Nos. 34, 3S, 37. On Aug. 18, 2003, Providence Service Corp. made an initial public offering, in which we(!) sold Providence Common Stock that we owned and (2) converted our 2 promissory notes into additional Common Stock in Providence.
CRIMIN ANCTIONS
FINANCIAL DISCLOSURE REPORT Name or Person.Reporting· Date of Report .
Trauger, Aleta A 0511312004
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 pennitting 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.
Signature
AND WILFULLY FALSIFIBS OR FAILS TO FILE TIIlS REPORT MAYNOTE: ANY INDIVIDUAL WHO KNO BE SUBJECT TO CIVIL AND (5 U.S.C. app. § 104)
FILING INSTRUCTIONS
Mail signed original and 3 additional copies to:
Committee on Financial Disclosure
Administrative Office of the United States Courts
Suite 2-301
One Columbus Circle, N.E.
Washington, D.C. 20544