Ron Clark Financial Disclosure Report for 2009

8/3/2019 Ron Clark Financial Disclosure Report for 2009

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a o 1 o FINANCIAL DISCLOSURE REPORT e e p o , t R e q u i r e d b y t h e E t h i c ~in Governmen t Act qf 1978

Re , , . I / 2 o w FOR C A L E N D A R Y E A R 2 0 09

I . Per~o~ Report ing ( las t name, f i rs t , mi, ld l¢ in i t ia l ) :L Court or Orgetn lza l loa 3 . Da le o f Re p o r t

Clark, Ron Distric t Court , E.D. Texas 05/ 06~010

4. Title (A rticle Ill judg~ ind icate active or ~nior stalus’- 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 t e ty p e )6. Reporl ln | Period

m a g i . ~ t r a l e j u d g t ~ i n d i c a t e f u l l - o r p a r t - l l m e )

[] Nominat ion , D a t e 01/01/2009

A c t i ve ][--] Initial ~r~l Annu a l[] Final 1o

1 2 / ] 1 1 2 0 0 9

7 . C ~ a m b e r s o r O f f ic e A d d r e s s l g . O a t h e b a s i l o f th e I n l ’ o r m a t l o a 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 y

m 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 I t , I n m : y o p i n i o n , I n c o m p l i a n c e

300 Willow//221 w i t h a p p l ic a b l e la w s a n d regulat ions.

Beaumont. TX 77701

R e v i e w i n g O f l ~ ce r D a l e

I M P O R T A N T N O T E S : T h e i n s t r u c t la n ~ accompanying this form must be followe ,! Com plete all parts,

checking the NONE box for each part where you have no re porlable information. Sign on last page.

~-1 N O N E (No re portable posi t ions. )

P O S I T I O N blAME OF ORGANIZATION/ENTITY

1. Ad minist rator / co- t rustee ofEstate # I , slatt ing A pri l 30, 2009 Estate # I i : :i~ ~:o~ ~:~ i~ i-~ :~ ~ ~, ~ ~[

I I . A G R E E M E N T S . (Reporting IndiWdaal only; ,eel~IX 14.-16

[ - - - ] N O N E (No reporlable agreements.)

D A T E ~ P A R T I E S A N D T E R M S

I . 1997 Sta~e of T exas R etirement P lan, no control



F IN A N C I A L D IS C L O S U R E R E P O R T

of 12 C ~ a r ~ , R o n o . ~ / 0 ~ / 2 0 1 o

IlL NON -INVE STME NT INC OM E. tR¢~.~in,~l,t . .I. ,,~,~,-,~;~r~

A. Flier’s Non- Inv e s t m e n t i nc om e

N O N E (No repor table non-investment income.)

D A T E SOURCE AND TYPE I N C O M E( y o u r s , n o l S ~ O U S e ’ S )

I . 1 2 . / I 5 1 2 0 0 9 Fee as adm inist rator of Estate # I $26,000.00

2.

3.

4.

B . S p o u s e ’s N o n - I n v e s t m e n t I n c o m e - t f y o u ~ e m a r r l e d d u r l ng an), p o r t i o n o f t h e r e p o r t in g . F e a r , complete thll section.

( D o l l a r a m o e b a e n o t r ~ q o i t v d e x c ~ p t f i~ r h o n o r a r i a . )

~] N O N E (No repor table non-investmen t income.)

D A T E SOURCE AND TYPE

I . 2009 Self employed drama teacher/performer/drama compeli ton judge

2 .2009 Salary, Lamar Universi ty

3.

4.

IV. REIM B URSEM ENTS -,,~,,~..,~o,~ t,~n~,fooa, e-~.,=i..,~.~( l n c h ~ d ~ ’ s t h o s e to s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 2 J - 2 7 o f f ! ll n g i n st r u c t i o n s . )

1 " - - " ] N O N E (No repor table re imbursements .)

~ qOU R C E D A T E S LOCATION P U R P O S E . ITEMS PAID OR PROVIDED

1. N.Y. Inlelleclual Property June 26, 2009 New’York , NY CLE Speaker - Patent Law Travel , meals, and hotel

Law A ssoc . (A r ty CLE Program

program)

2. Foundat ion for Research on July 19-23 2009 Gallat in Gateway. NT Attend seminar on Travel , meals, and hotel

Economics & .Environment nanotechnology

(CLE p rogram)

3. Slate Bar of Texas (A fly CLE Ju ly 16-17 , 2009 San A ntonio , TX CLE Speaker Municipal Travel , meals, and hotel

program) Law Program

4. Minnesota C LE Sep tember 23-24 , Minneapolis , MN CLE Speaker- Patent Law Travel , meals, and hotel

2009 Program

5.



F IN A 1 N C I A L D I SC L O S U R E R E P O R T

of 12 C l a r k . ~ o , , 0 . s . , 0 6 ~ 0 1 0

[~ N O N E (No reportable g~s. )

S O U R C E D E S C R I P ’ ~ I O N VALUE

I.

2.

3.

4.

5.

VI. LIABILITIES. a.d~a,.

N O N E (No reportable liabilities.)

( ~ R E D I T O R D E S C R I P T I O N V A L I .J E ~ O D E

I.

2.

3.

4.

5.



FINA NC I AL DI SCLO SURE REPO RT [

of 12

V II . IN V E S T ME N T S a n d TRUSTS - ~ . ~ ,

N O N E (N o repor t able i nco me , ~se t s, or t ransac t i on . )

A. B. C. D.

~ r i p fi o n o f A g s ~ l~ome during ~ value at end T~n~ct ions dur ing r e~ ing ~ r i~

~i~ ing t~s l as~ t s ) ~o~ing p~ orating

Place "IX)" aRer ~ch ~I ’ A m ~ n t T~e (e .~, Va~ Value T~ (e .g . . Da ~ Va~e ’ Gain Id~ t i~ of

Code I di¢., ~nk C ~ e 2 Me~od b u y , ~ 1 1 , m~d~ C o& 2 ~ C o~ buyer/~ller¢xempl f~m pfi~ disclosure

, [ ( A - H ) o r i n t . ) ( J - P } C ~ e 3 r~emption) O - P )

I I { A - I t }

[if~ivaleI ( Q - W ) ~ t r ~ n s n c t l o n )I

I. U S A A M u tu a l F u n d U S E X X A Interest K T

2, U S A A M u t u al F u n d U S S P X A Div i dend K T

3. Vanguard VMMX X Money Marke t A Div i dend K T

4. Vanguard Windsor I1 Fund C Div i dend M T

5. Vangtmrd Mid - cap Index Fund A Div i dend K T

6. Vanguard Mutual Funds IRA 1 C Dividend M "~

7. -Health Care Fund B u y 0 1 / 0 8 1 0 9 J

8, -Windsor I I Fund B uy 03/18/09 J

9. -Windso r i l Fund B uy 11t02 /09 J

I 0. - Ex plo re r F un d

II. -500 Index Fund

12 . Vanguard Mutua l fund IRA 2 - Mid - cap A Dividend J T

I ndex Fund

13 , Vanguard Mutua l fund IRA 3 - 500 Index A Div i dend J T

Fund

1 4 . Vanguard Mutua l Fund IRA 4 - 500 Index A Div i dend J T

Fund

15 . AIncrican Mut. Fund IRA New Perspect ive B Div i dend M T bu y 02/28/09

Fund

16 . Van~,mard Variable Annuity None K T

17. XOM com. s tock B Div i dend L T



F IN A 1 N C I A L D I S C L O S UR E R E P O R T

P a g e 5 o f 1 2 [ oars, 7°.t ) 5 / 0 ~ ; 2 0 ~ o

[] NONE (No reportable incom e, assets, or t ransact ions. )

A. B. C. D.

D e s c r i p t i o n o f A s s e t s I n c o m e d u r in g G r o s s v a l u e ~ 1 e n d T r a n s a c t i o 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 ~ r u s t a s . ~ e t s ) r ~ p o r t i n g p e r i o d o f r ~ p o r ~ i n g p e r i o d

|I) ~ (2) (I) I 12) (1 1 (21 i (3~ ] ~4) ~ 5 )

P la cc ’(X )"a l’te rc~ ha ss e t .A m o u n t. T y p e { e . g . , V a l u e , V a l u e Typ~ le . g . , Dale : Value i Gain I d cn t i t yo f

e x e m p t f ro m p r i o r d is ~ l o s u r ~ : Co d e I ~ d i Y . . r e n t . C o d e 2 i M e t h o d bu y , ~ I I , m m / d d /y y I C o d e 2 I C o d e I b u y t ’ r / ~ e l l e r¯

] [A-H) ~. o r i n t . ) U-P) ’ C o d e 3 r e d e m p t i o n ) ’ U’P) [ (A-If) ( i fpr ivalc

1 8 . U S . S a v i n g ~ B o n d N o a e J T

1 9 . U G T M A A c c o u n t I (XOM com. s tk) A Dividend K T

2 0 . HBW Plaza L t d . D Distribut ion M U

; 2 I . Comp ass Bank A ccount s A Interest L T

22 . A V IG N com. stk X None M T

2 3 , AT& T com, s tk X A Dividend K T Sold 05/15/09 M A( p an)

2 4 . A V I A T c o m . s tk X A Dividend J T

2 5 . ADP. com. stk X A Dividend L T

2 6 . CV’X com. stk X A Dividend K T

2 7 . KO com. stk X A Dividend K T

2 8 . ETN com. stk X B Dividend " L T

29 . EIdK com. stk X B Div i dend L T

3 0 . FI)X com. stk X A Div i dend J T

3 1 . HD com. stk X A Dividend K T

3 2 . LLY com. slk X B Div i dend K T

33. MCD com. stk X A Dividend K T

3 4 . PEP corn stk X C Dividend L T



F IN A N C I A L D I SC L O S U R E R E P O R T [ n.mc,~’.r,., r.~,~O a t e o f r . ~ , ~

of 12

I

NONE (No reportable income, ~sets, or transactions.)

A. B. C, D.~ f i p f ie n o f A x ~ s Inco~ ~ng G r o g s v a l u e a t ~ n d T~t~ns ~ng r~ing ~fiod

( i~ luding

Place "(X)" after ~ch as~t A~nl ’~ T~ (e.g., Value Value T~e ( g ., Dale . Value Gain Id~ati~ of

exempt from prior di~losu~ Code II div., ~nL C~ 2 M e lh o d b~. ~ l l , mm/~ Co~ 2 C ~ e I buycr / se l~

(A-H) i ~ i n t . ) ( J - P ) Co d 3 ~d~pd~) i O ’ P ) (A- I ! ) ( i f p ~v a l ¢

Ji( Q - W )

IIran~clion)

3 5 . PFEcom. s t k X A Div i dend K T

3 6 . SLBcorn , s tk X A Div i dend K T

3 7 . A m er i can Mutua l Fund , New P e rsp ec ti ve C Div i dend M T

F u n d X

3 8 . Am erican M utual Fund Smal l Cap World X A Div i dend K " T

3 9 . Drey fus S&P 50 0 I n d e x F u n d X B Div i dend M T

40 . BA .C Cap. TR XII preferred X B Div i dend J T

4 1. Nuveen Arizona Prem. lnc. Muni . Bad. A Div i dend J TF u n d X

4 2. Drey fus A MT-Frce Mun. Bnd F und X D Div i dend M T

4 3 . Dreyfus M um Bnd. Fund X C Div i dend L T

4 4 . Maxicopa C|y AZ bon;d X A Interest J T

45 . Salt Ri ve r P r j A Z bond s X A In~:rest K T

46 . M cCal l is t e r Acadc tn ic VLG bonds X A Interest K T

47 . PinaaCty A Z bond X A Interesl J T

48 . C0conino &Yavap a i Cos A Z bonds X A Interest J T

49 . U . o f A Z C o p B r d b o n d X A Interest J T

5 0 . Prtscotl Vly AZ Mun. bondX A Interest J T

5 1 . M esa AZ Ul i l Sys bonds X A lntere~l J T

=More



[Hamef Per~oa Reportiag Dtte or Report

F I N A N C I A L p a g e 7 o f 1 2 D I S C L O S U R E R E P O R T I c J ,r ~ , a o . 0 ~ / o w 2 0 ~ o

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

A. B. C. D .~ri~ion of As~ Income d~ ~ valu~ at ~ T~n~cdons du r ing re~ing

~incl~ing t~st ~) ~ing ~ orating ~od

(D 12) (D ~ (2) (t ) (2) (3) (4)

P l a c e " (X ) " a f l ~ ~ h ~ ] A m o u n t T~ (e.g. Va~e , Value T~ (e.g. ~ Value G a~ I d ~t iW o f

C o ~ I d iv . , ~L C~ 2 Meted b ~ , g l L mm/~ C~2 C~I buyer , ’~ l~e x e m p t ~ p f i ~ d i ~ l ~ u rc

{ A - H ) o r i n L ) O - P ) ~ C~e3 t~ption) ( J - P ) ( A -H )

~ ’ ( Q -W )

52 . ~ H~lth Facs Au~ ~d X A Imc~t J T

5 3 . UBS - RMA Money Mkt X B lnter~t N T

5 4 . Benf i c i a ry IRA X E Div i dend O T

5 5 . - AT& T com. s tk X

56. -BP corn . s t kX

57.- C V . X c o m . s t k X

5 8 . - X O M com.stk X

5 9 . -WP~E com. s tk X

60. -WP.I com. stk X

61. -O~penheimer Champ Income fund X

6 2 . -Nuveen Equi ty P & G fund X

63. -ABAprefe rred shares X

6 4 . -USBPRI preferred shares X

65. -Eaton Vance En. Equity loc Fund X

6 6 . -John Hancock Inc Se~. Fund X

6 7 . -L~rd Abbo lBond D eb . Fund X

6 8 , SYS com. s tk X B Div i dend L T



Name of peeson Reporting Dale of Report

PageFINA NCIA L8 of 12 DISCLOSURE RE PORT [ C a r k , R o ~ 05 : ’o~ /2010

N O N E (No repo rtable incom e, assets , or t ransact ion, )

A. B. C. D.

~Hpdon of As~ In.me during

(incl~ing t~st ~ts) ~oning p~ orating

(I) (2) (I) I (2) (I) " 12) (3) [ (4) (~ )

PI~ "(X)" afi~ each ~t ~ A m o u n t T~ (e.g., Va~e ~ Value T~ (e.g.. D a ~ Va~ . Gain I d ¢ n t i~ o f

e x e m p t f r o m p ~ d i ~ l o s u m~ ( A - H ) m i~)

69 . J N ] c o m . s t k X B ~vld~d L T

70 . IT~.com.s tk X A Dividend K T Sold 09/01/09 K D(part)

71 . GE com. stk X A Dividend K T

7 2 . HUB B com. stk X A Dividend K T

7 3. C OSTco m. stk X A D i v i d e n d J T

7 4 . WGL Hold ings I nc com. s t k X A Dividend J T

75 . DUK com, s tk X A Dividend J T

7 6 . SE com. stk X A Dividend J T

7 7 . P E C ) c l o se d e n d t r u s t X A Dividend K . T

78 . Energy Select Sector SPDRX A Dividend J T

79 . John H ancock P at P r ~ m I1 closed end trust X A D i v i d e n d J T

80 . N u v e e n M u n V a l u e f u n d X B D i v i d e n d K T

81 . W tllsFargo Money Mkt. Account X A lnt./Div. L T

82 . Schwab Money Market account X B Int./Div. J T

8 3. Aquila Group Tax Free Trust of AZ X B lntdDiv. L T

8 4 . Broadridge Financial Sols. Inc. com. stk X A D i v i d e n d Sold 08 /13 /09

85 . Walrnart Stores Inc com. stk X A Dividend Sold I 1/18/0t~ L A



N a m e of Pt’r~on R e p o r t i n g Dtte of Report

PageFINANCIA L9 of 12 DISCLOSURE REPORT [ C1.~k,.o. t ! 5 / 0 6 ~ ’ 2 o l o

VII . INVESTMENTS and TR USTS -~. ~. ~o~ a~,-t .a~ ,~o.~¢ o / .~ ~ a~z~, , .~iu~:

N O N E (No repo r table incom e, a~sets, or t ransact ion.)

A. a. C. D,Dc mr i~ i~ o f As s e ts I n c o m e d ~ n g G r e ~ w a l u c a t e n d T ~ s a c l lo n s d u ~ n g m ~ i n g ~ r ~

( i~ l ~ i n g t r u s t ~ s ~ s ) r~ing ~ of ~ing ~

O) t2) (I) t2) {I) (2 )

Place " (X) " aR~ ~ch ~ t ’ Am~nt T ~ ( e . g . , Value Value T~ (e .g . , Da le Va lue

ex~pt ~m prior di~losure ] C~ I div., ~n~ C’~e 2 Met~ b~, ~11, ~d~ C~ 2 ] C~c h*y~r/seller

~ ( A - H ) o r i n L ) { J - P ) C o d e 3 ~cm~i~)

! ( ~ W )

86 . Xcel Energ y Inc. com. stk X A Dividend Sold 8 /25/09 J B(parl)

87 . Sold 8 / 2 6 1 0 9 J A( p a r t )

8 8 . Sold 8 /27 /09 J A

89 . Phoenix AZ G/O’Unltd Reg B ond X None R c d ~ m e d 07/01/09 J A

90 . American Exp Bnk CD X None Redeemed 1 2 / 0 3 1 0 9 K A

91 . Nat. City Bank OH ~’D X None Redeemed I 0 1 2 2 / 0 9 K A

9 2 . Bi0gen Id ec lnc . com. s tk X None Sold 05/15/09 K A

93 . Idaeorp Inc. com. stk X None Sold 05/15/09 K A

94 . ING" Prim Rate Trust X None Sold 0 5 1 1 5 1 0 9 J A

9 5 . Intergy Ener. Grp. (symb. : TEG) X None Sold 05/15/09 J A

96 . Med cohealth Solu tions (s-ymb.: MH S) X None Sold 05/I 5/09 J A

9 7 . Li’~::rty Prop Trust REI T X None Sold 05/15/09 K A

98 . U D R I nc. R .E IT X None Sold 05/15/09 K A

9 9 . Thc, rnburg Mortgage REIT X None Sold 05/15/09 J A

1 0 0 . A l a b a m a P w r b o n d s X None Sold 05/19/09 J A

1 0 1 . Fed H ome Loan Mtg Corp. coin. stk X None Sold 05!19/09 J A

1 0 2 . IBM com. stk X None Sold 05/19/09 M A



Ia m e o f P e r s o ~ R e p o r t l n ~ D z t e o f R e p o r t

FINA NCL~Lpagc [0 of 12 DISCLOSURE REPORT I Clar~ ao. 0 5 : 0 ~ i " . 0 1 0

~ N O N E income, assets, tra~actiomON o reportable

A. B. C. D.~s~ption of A~ Inc~e dur ing Groxs value at ~d T~n~ctio~ duri~ ~aing ~fi~

[ i~ lud ing t~s t ~e~) r~ing ~ of ~ing pefi~

(I) (2) (1) ~ (21 (I ) (2) i O) ~ (4) (5 )

P l a c e ~ ( X ) ’ a f l ~ ~ h ~ t ~ A m o u nt T ~e (e .g ., Value ~ Value T ~ ( e . g . , D~te ’- Va ue Gain Identi~ of

~x~pt from pfi~ discl~u~ . ~ C ~ e I div., r~L C o d e 2I

Mclh~ b~ , ~ IL m~’d~ ,[ CMe 2uy~/ scl l~

i IA -H ) orint.) ( J - P ) : C~e3 ~ c m p t i ~ ) ~ tJ-P) [ (A -H ) (ifpri~

j ~( ~ W )

. I !t~tion)

103. ~1 CoW. cam s tk X No~ So ld 0 5 /1 9 /~ J A

1~. Motorola Inc. com. s tk X None Sold 05119/ ~ K A

1 0 ~ . Ni 0so u rce I n c . (Ne w) co m . s tk X N o n e So l d 05/19 /09 J A

1 0 6 . Nuveen A Z Prem Inc Mun fund X N o n e Sold 05/19/09 L A

1 0 7 . R oya l B nk Scotland P fd X N one Sold 0 5 1 1 9 1 0 9 K A

1 0 8 . Blac l : rock Euro Fund X None Sold 05/19/09 J A

1 0 9 . E aton V ance G rtr C hina G row th F und X N one Sold O5/19/09 K A

I10. B e a l B a n k C D X None B uy 6/15/0q M

I 1 I. R e d e e m e d 12/23/09 M A

1 1 2 .

(~Uol~n C2) U ~k VaI~ V ~h~ W



I*m~ of" Person Rcportiag

F I N A N C I A L p a g e 1 1 o f 1 2 D I S C L O S U R E R E P O R T [ C l a r ~ . R o .

V I II . A D D I T IO N A L IN F O R M A T I O N O R E X P L A N A T I O N S .

I. Ilems22throughlll (alld~noled by X in column A) b~came part of Estale l ~ . ¯ . . " I AIIsuehassctscxceptl’orWellsFargo money market fund (Itcra 81 ) thai are not shown as sold w~e distribuled an~l Will ii~p~’~,~: 0fi fi~x~ ~darS~i~.po~l. lt~l 81 ~¢as the only asset remaining inE~ale I at 1he end ofthe year. The proceeds from sale ofsoch assets shown as sold, were distribut~.~’d or applied Io taxes and expenses of admins~ralion befor~end of year.

2. Items 86-88 - X cel En~gy was sold in 3 lots on Aug ust 25-27 so it shows as ¢omplel~ly sold on Aug us! 27 and w ill not b¢ reported next year.



N t m ¢ o f P e rs o n R e p o r t i a g D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORT ]

of 12 Clark, Ron 0 5 i 0 6 / 2 0 1 0

I X , C E R T I F IC A T IO N .

! cer t i fy tha t a l l in forma t ion g iven above ( includ ing informa t ion per ta in ing to my spouse and minor or dep endent chi ld ren . I f any) I s

accura te , t rue , and comp lete to the bes t o f my knowledg e and bel ief , and tha t any Informa t ion not r epor ted was wi thheld because i t met app l icable s ta tu1oryprovi s ion~ permi t t ing non -d i s c lo sure .

I fu r ther cer ti fy tha t earned income f rom ou ts ide em ployment and ho nora r ia and the accep tance of g i f t s which have been r epor ted a re Incompl iance wi th the p rov is ions of 5 U,S.C . app. § 501 e t . seq, 5 U.S,C . § 7353 , and Jud ic ia l Conference r egu la t lomt .

Signa tu re .

N O T E : A N Y I N D I V I D U A 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 F I E S OR F A L L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . § 1 0 4 )

FILING INSTRUCTIONS

M a i l s ig n ed o r i g in a l a n d 3 a d d i t i o n a l co p i e s t o :

C om m it t e e on F inanc ia l D i s c l o s u r eA d m in i s tr a t iv e O ff i ce o f t he U n i t ed S ta te s Co u r t sS u i te 2 - 3 01One C o l u m bu s C i r c l e , N . E .W a s h i n g t o n , D . C . 2 0 5 4 4

Ron Clark Financial Disclosure Report for 2009

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Transcript of Ron Clark Financial Disclosure Report for 2009