James H Hancock Financial Disclosure Report for 2009

8/3/2019 James H Hancock Financial Disclosure Report for 2009

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A n 1 o I FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b y t h e E t h i c sin Government Act of 1978R. 1/20,0 I FOR CALENDAR YEAR 2009 0 U . S .C . a p p . 1 0 1 - 1 1 I )I . P e r s o n R e p o r t i n g { l a s t n a m e , f ir s t , m i d d l e i n i t i a l ) 2 . C o u r t o r O r g a n i z a t io n 3 . D a t e o f R e p o r t

Hancock, J ames H . U.S. District Court, NDAL 0 4 / 0 8 1 2 0 1 04 . T i t l e ( A r t i c l e I I I j u d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ; 5 a . R e p o r t T y p e ( c h e c k a p p r o p r i a te t y p e ) 6 . R e p o r t i n g P e r i o dm a g i s t r a t e j u d g e s i n d i c a t e f u l l - o r p a r t - t l m e ) [ ] Nomina t i on . D a t e 01 / 01 / 2009

S e n i o r U . S . D i s tr i c t J u d g e [] Ini t ia l [] Annual [] Fina l to]2/31/20095b . [ ] AmendedRepon

7 . C h a m b e r s o r O f f ic e A d d r e s s 8 . O n t h e b a s i s o f t h e in f o r m a t i o n c o n t a i n e d i n t h i s R e p o r t a n d a n ym o d i f i c a t io n s p e r t a i n i n g t h e r e t o , i t is , i n m y o p i n i o n , i n c o m p l i a n c eU . S . C o u r t h o u s e , S t e . 6 8 1 w i t h a p p l i c a b l e l a w s a n d r e g u l a l i o n s .1729 5th Avenue NorthBirmingham, AL 35203 R e v i e w i n g O f f ic e r D a t e

I M P O R T A N T N O T E S : The instructions accompanying this form m ust be followe ,t C o m p l e t e a l l p a r t s ,checking the NO NE box for each part where you have no reportable information. Sign on lastpage.

I . P O S I T I O N S . ~ R o p o r t l .z l . a i .i a . a o . ~ y : s o , p p . 9 - , o f ~ i i .~ i n s t r u c t i o n s . )NONE (No reportable positions.)

POSITION N~ME OF ORGANIZATION~NTITY1.2.

I I . A G R E E M E N T S . (Reportin~ individual onl);.~pp. 14-16 of falnt instructions.) ,. 1 :~ NONE ~o reportable a~eements.) ".- -

~ PARTIES AND TE~S - : 3 .~


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FINANCIAL DISCLOSURE REPORT IP a ge 2 o f 7] ltancock James IL [

~108 /2010

I lL N O N - IN V E S T m e N T I N C O M E . (~,vo,a,~ i, ai~a,~t,,a.,~ .... ; ~ , ~ ~ v . ~ - 2 ~ o / ~ i , ~ ~ , ~ , ~ n o , , .)A. Filers Non-Investment Income

N O N E (No reportable non-investment income.)DA~ SO~CE A~ ~PE ~COME@ou~, not s~es)

I.2.

3.

4.

B . S p o u s e s N o n - In v e s t m e n t I n c o m e - t f ~ o u w , ,~ m a ~ i ~ d d u ~ n g a n y p o n i o n o f th ~ ~ p o n i n g y e a r , c o m p & ~ th~s sectio~(Do llar ~oun t no t requ ired ~ceFl for honororia .)

N O ~ ~ o reportable non-investment income.)D A TE SO~CE A~ ~PE

1.

4.

I V . R E I M B U R S E M E N T S --,ransvor,a,lo~, ~o~i.g,ood, e~,or ,~ .oe .~(Inc ludes those to spouse and de~nden t ch i ldren ; see ~. 2J -27 o f f i l ing i~l~c l io~.)

~ N O N E ~ o r e p o r t a b l e r e i mbu r s e me n C s .)~ ~ LOCATION ~ ITEMS PAID OR PRO~ED

1 . Foundat ion foe R es~ch in A u ~ s t 9 - 1 3 , 2 ~ 9 Gallat in Gateway, Mon~na S e ~ n ~ f o r F ~ e r a l a n d Travel, Homing, Food ~d TuitionE c o n o m i c , : ~ d ~ e State Supreme Co u~Environment Judg~ ~d ~w Profe~o~2.3.4.5.


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FINANCIAL DISCLOSURE REPORT s , ~ , , o ~ V . . . . u , ~ o , - t ~ a ~ , o~ , o~Page 3 of 7 Hancock , J a m e ~ H . 04/08/2010

~ N O N E (No reportable g~s.)~ DESCRIPTION VALUE

1 .2.3.4.5.

V I . L I A B I L I T I E S . a , a , a , . , ~ o , , o : , p ...... d dependent children,- see I ~ P . 3 2 - 3 3 of fill.g instructlon~)N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTION VA L U E C OD EI.2.3.4.

5.


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FINANCIAL DISCLOSURE REPORT name of Person Reporting D a t e a f R e p o r tPage 4 o f 7 Hanco ck, James t l . 04/08/20 l0

VII. IN VE STMEN TS and TRUSTS -i,om~. ,,t,~., ..... a o , ~ a , ~ t , ~ e ~ ~ h o , e o f . ~ , o ~ e~] NONE income, assets, transactions.)~ o reportable oF

A. B. C. D .D e s c r i p t io n o f A s s e t s I n c o m e d u r l ag G r o s s v a l u e a t e n d T r a P . s a c t io n s d u r i n g r e p o r t i n g p e r i o d( i n c l u d i n g t r u s t a s s e t s ) r e p o ~ t i n g p e r i o d o f r e p o r t i n g p e r i o d

(I): (2) (0 (2)P l a c e " C A ) " a ~ e r e a c h a s s e t A m o u n T y p e ( e . g . , V alue V alue T y p e ( e . g . , D a t e Value Gain I d e n t i t y o fe x e m p t f r o m p r i o r d i sc l o s u r e Code d i v . , r e n t , C o d e 2 M e t h o d buy, sell, m m / d d / y y C o d e 2 C od e I buyer/seller(A-H) or inL) (J-P) Code 3 redemption) (J-P) (A -H ) (if private

( Q -W ) i , t r a r t s a c t i o t ~ )

I. Exxon Mobil - Stock D Dividend N2. CMA Tax Ex. - Money Mkt. A Interest L T3. BP Amoco - Stock B Dividend K T4. ING Ser Fd Inc Growth Income Fd - C las s A B Dividend M T 2/9/09 See Section V III- A Mut. Fund5. Archer Daniels Mdl. - C Stock B Dividend K T6. Morgan Stanley - Stock A Dividend J T7. Regions Bank - Ck Acct. A Interest J T

8. Et Paso Corp. - Stock A Dividend J T

9. Service Corp. Int. - Stock A Dividend J T1 0 . Va nguard Wellington Fund - Mutual Fund B Dividend K T1 1 . Regions Fin. Co rp. - Stock B Dividend K T

1 2 . La. Pae. - Stock A Dividend J T

1 3 . Eaton Vance Ala. Munis Fund- Mutual A Dividend J TF u n d1 4 . Weyerhaeuse - Stock B Dividend K T1 5 . Bank of New York Mellon Corporation A Dividend J T

1 6 . Fidelity Trend - M ut. Fund A Dividend L T1 7 . Alls tate Corp.-Stock A Dividend J T

1 . In c o m e G a i n C n d ~ s : A -$1.000 ot less B = $ 1 . 0 0 1 - $ 2 , . . q 3 0 C -$2.~01 - $5 .000 D-$5.001 $1 $,000 E ~ $ 1 5 . 0 0 1 - $ 5 0 . 0 0 0($ec Columns BI and D4)2. Value Cod~ J - $ I 5 . 0 0 0 o r l e g s K - $ 1 5 . 0 0 1 - $ 5 0 , D 0 0 L -550,00| . $100,000 M -$100.001 - $250,000{See Coltwngl CI and D3) N = $ 2 5 0 , 0 01 - $ 5 0 0, 0 0 0 O =$ 5 0 0, 0 0 1 - 5 1, 0 0 0 , 0 ~ 0 P! =$1,000,001 - $5,000,000 P 2 - $ 5 , 0 0 0 , 0 0 1 - 5 2 5 , 0 0 0 , 0 0 0

P3 -$25.000,00 t - $50.000,000 P 4 = M o r ~ t h a n 5 5 0 , 0 0 0 .0 0 03. Value Method Codes Q -Appraital g ,,.Cost (Real Esm Only} S -Assessment T ,-Cash Market(See Column C2) U -8ook Valoe V , = O : h e ~ W = Estirr~ed


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FINANCIAL DISCLOSURE REPORT r~ .... fPerson Report ing Date of ReportP a ge 5 o f 7 ~ a n e o c k , J a m e s n . 0 4 / 0 8 / 2 0V I I . I N V E S T M E N T S a n d T R U S T S - i .... ,, val., ttansaenon$ (Includ~ thus* of spouse and dependent childr,n; $,pp. 34-60 of filing instructions.)

N O ~ ~ o repoaable income, assets, or ~ansactions.)A. B. C. D.Descfp tion of Assets In.me during Gross value at end Tmn~etions during reining

( inc luding ~st ~se ts) repoaing period of ~po~ing period(I) C2) CI) (2) (I) (2) (3)

Place "~)" after each ~mt Am ount T~e (t.g., V a l ue V a l ue Type (e.g., Date V a l ue Gain Identity ofexempt ~om pfor ~selosure C~e 1 dip . , ~nK C~e 2 Me~ buy, se l l , ~d~ Code 2 C ode I buyer/seller(A-H) or in t.) (J-P) C~e 3 redemption) (J-P) {A-H) (if private(Q -~

18 . W~te Management - St~k A Dividend J T

19 . Coca Cola- St~k A Dividend K T

2 0 . ~eris Banco~ A Dividend J T

2 1 . Ste~e Agee- M#neyMkt. A Interest J T

2 2 . Colonial Banc~oup- St~k None Sold 08 /24109 J See Section VIII

2 3 . Ques~r- St~k A Dividend L T

2 4 . Compass Bank- CL Acct. A Interest L T

2 5 . Duke Energy- St~k A D i vi de nd J T

2 6. Em~son El~trie A D i vi de nd J T

2 7. State Street Co~.- Stock B Div id e n d M T

2 8 . Comerica-Stock A D i vi de nd K T2 9 . Southern Company- Stock D D i vi de nd M T

3 0 . Vulcan Materials- Stock C D i vi de nd L T

3 1 . B~e T~t Financial Group - Stock A Div id e n d J T

3 2 . Fi~t Horizon National A D i vi de nd K T

3 3 . Conagra Foods A Div id e n d K T

3 4 . ~COR Co~. - Stock A D i vi de nd K T

1. Income Gain Codes: A = $ 1 . 0 0 0 o r l e ss B =$1,001 - $2.500 C = $ 2 . $ 0 1 - $ 5 , 0 0 0 D =$5,001. S l.S.000 E -$1S,00l - $50.0002. Value Codes J ~ $ 1 5 , 0 0 0 o r l e s s K = $ 1 5 , 1 X ) I - $ 5 0 . 0 0 0 L - $ 5 0 . 1 ) 0 1 . $ I ~ 3 . 0 0 0 M ~ $ 1 0 0 , 0 0 1 . $ 2 5 0 , 1 3 0 0(See Columns Cl and D3) N =$250,001. $500.000 O = $ ~ ;0 0 , 0 0 1 . $ 1 , 0 0 0 , 0 0 0 P l = $1 , 0 0 0 ,0 0 1 -

P 3 = $ 2 5 . 0 0 0 . 0 0 1 - $ 5 0 , 0 0 0 , 0 0 0 P 4 = M o r e a l ar m3. V alue Method Codc$ Q = Apprai~l R = 4 : : o s i ( R e a l E s t a te O n l ) ) S = . a ~ s s e s s m e n t T =


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FINANCIAL DISCLOSURE R EPORT r ~ . m , o r P . . .. ~ R e p o , ~P age 6 o f 7 ~cock, Jam~ ~" I

0 a m / 2 o ~ a

VIII. ADDITIONAL INFORMATION O R EXPLANATIONS.

Line 4 On 2 /9 /09 exchanged 1 : ] shares o f lNG FIN. SVES. FUND ( in a l ax f ree exchange) fo r "]shares ofI N G S E R F D I N C G R O W T H I N C O M E F U N D C L A SS ALine 22 O n 8 /241 09 so ld shares of Colonia l Bancgroup com mon s tock for a to ta l o !~: ] exper ienc in tg a lmost 100% loss .


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P age 7 o f 7 ~ l a n c o e k , J a m e s l I . 0 4 / 0 8 / 2 0 1 0

IX. CERTIFICATION.I certify that al l information given a bove (including information pertaining to m y spouse and m inor or dependent children, if any) is

accurate , true, and comp lete to the best of my kn owledge and b el ief, and that any information not reported was withheld because i t met app licable statutoryprovifion$ perm itting non-disclosure.I further certify that earned incom e from outside em ploym ent and ho noraria and the acceptance of gif ts which have b een reported are incom pliance with the provisions ors U.S.C. app. 5 01 eto seq , 5 U.S.C. 7353, and Judicial Conference regulations.

Signature l

N O T E : AN Y I N D I V I D UA L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I FI E S O R F A I L S TO F I L E T I II S R E PO R T M A Y B E S UB J E C T T O C I V I LAND CRIM INAL SAN CTION S (5 U.S.C. app. 104)

FILING INSTRUCTIONSM ail s igned or igina l and 3 addi t iona l copies to :

Com m il tce on F inanc ia l Dis c los ureAdministrative Office of the United States CourtsSuite 2-301O n e C o l u m b u s C i r c le , N . E .W as hington , D.C . 2 0 54 4

James H Hancock Financial Disclosure Report for 2009

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