Simeon T Lake Financial Disclosure Report for 2010

8/3/2019 Simeon T Lake Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010

Report Required by the Ethicsin Government Act qf 1978(5 U.S.C. app. f~" I01-111)

I. Person R eport ing (last name, f i rst , middle ini t ia l )L a k e , S im e o n T .

4. Tit le (Ar ticle I I I judges ind ica te active or sen ior s ta tus ;magistrate judges indicate flail- or part-time)

U.S. Dis t r ic t Judge ( ac t ive)

7. Chambers or Office AddressU n i ted Sta tes Co ur th o use5 1 5 R u s k A v e n u e , R o o m 9535Ho us to n , Texas 7 7 002

2 . C o u r t o r O r g a n i z a t io nUnited States District Court

5a. Report Type (check appropriate type)] Nominat ion, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas is o f the in formation conta ined in th is Repor t and anymodif ica tions per ta in ing the re to , i t is , in my opin ion , in compliancewith appl icable l aws and regulat ions .

3 . D a t e o f R e p o r t04/26/201 I

6. Report ing Per iod01/01/2010

to12/31/2010

R e v i e w in g O f f i c e r D a t e

IMPORTANT NOTES : The ins truct ions accompa nying this form m ust be fol lowed. Co mplete al l par ts ,checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . ~ R e ~ , o . in g i n d i . id u a i o n l y ; s e e r ~ , . 9 - I 3 of filing instructions.)~-~ N O N E (No reportable positions.)

POSITIONI. Co -Trus tee T r u s t # 12.3.

4.5.

NAME OFORGANIZATION/ENTITY

I I . A G R E E M E N T S . t~ e ~ , o, in g individual only; see pp. 14-16 of filing instructions.)~] N O N E (No reportable agreemen ts.)

D A T E PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTP ag e 2 o f 9

N a m e o f P e r s o n R e p o r t i n gL a k e , S im e o n T .

D a t e o f R e p o r t04/26/201 I

I I I . N O N - I N V E S T M E N T I N C O M E . ( R e p o . in g i n d i v i d u a l a n d s p o u s e ; s e e p p . 1 7 - 2 4 of filing instructions.)A. Fi ler s Non-Inves tm ent Inco me

~ (No repor table non- inves tment income.)O N EDA TE SO U R C E A N D TY P E

2.

3.

4.

INCOME(y o u rs , n o t sp o u se s )

B . S p o u s e s N o n - I n v e st m e n t I n c o m e - If you were married during anvportion of the reporting year, complete this section.(Dollar am ount not required except for honoraria.)

N O N E ( N o reportable non-investment income.)DATE SOURCE AND TYPE

I.

2.

3.

4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment.(Includes those to spouse and dependen t children; see pp. 25-2 7 of filing instructions.)~ -~ (No reportable reimbursements.)O N E

2.

3.4.

5.

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED


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FINANCIAL DISCLOSURE REPORTPage 3 o f 9

N a m e o f P e r s o n R e p o r t in gLake , S im eon T.

D a t e o f R e p o r t04/26/201 I

V . G I F T S . a n c l u d e s t h o s e t o s p o u s e a n d dependent children; see p p . 2 8 - 3 1 of f!llng instructions.)N O N E (No reportable gifts .)

SOURCE DESCRIPTIONI.

2.3.

4.5.

VALUE

V I . L I A B I L I T I E S . (Includes those of spo use and dependent children; see pp. 32-33 offiling instru ctlon&)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION1 .2.

3.

4.5.

VALUECODE


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Name of Person Report |ngLake, Simeon T.

D a t e o f R e p o r t04/26/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , transact ions ( Includes those of .spouse and dependent children; see pp. 34-60 o/filin g instructions,)[] N O N E (No reportable income, assets, or transactions.)

A. B. C.D e s c r i p ti o n o f A s s e ts Income during Gross value at end( i n c l u d i n g t r u s t a s s e t s ) r e p o r 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

(0 ( 2 ) (l) (2)Place "(x)" af ter each asset A m o u n t T y p e ( e . g . , V alue V alueexempt from prior disclosure C o d e l d i v . , r e n t , C o d e 2 M e th o d( A - H ) o r i n t . ) ( J - P ) C o d e 3( Q - W )

1. ren ta l p ro p er ty #1-Ho us to n , TX A R e n t N W2. ren ta l p ro p er ty #2 -Ho us to n , TX B R e n t L W3. ren ta l p ro p er ty #3-Ho us to n , TX A R e n t M W4. ren ta l p ro p er ty #4-Ho us to n , TX A Rent N W5. p ro p er ty , Wash in g to n Cn ty , TX A R e n t N W6. J .P. Morgan Chase A Interest J T7. E x x o n C o m m o n S to c k F Div idend PI T8. W e l l s F a r g o B a n k A c c o u n t A Interest J T9. Ro y al ty In te res t , Wash in g to n Co un ty , Texas C Royal ty K W1 0 . Merr i l l Ly n ch Mo n ey M k t Acc t (IRA) A Interest J T1 1 . A T & T I n c . C o m m o n S t o ck ( I R A ) B Div idend K T1 2 . N o v a r t i s A D R ( I R A ) B Div idend L T1 3 . I B M C o r p . C o m m o n S t o c k( I R A ) B Div idend L T1 4 . G e n e r a l E l e c tr ic C o m m o n S t o c k (I R A ) A Div idend J T1 5 . I n t e l C o r p . C o m m o n S t o c k ( IR A ) A Div idend J T1 6 . S y n g e n t a A G A D R ( I R A ) A Div idend J T1 7 . N e s t l e C o r p . A D R ( I R A ) B Div idend L T

T r a n s a c ti o n s d u r i n g r e p o rt in g p e r i o dO) (2) (3)T y p e ( e . g . , D a t e Value

b u y , se l l , m m / d d / y y C o d e 2r e d e m p t i o n ) ( J - P )

(4 ) (5 )G a i n Identity of

C o d e 1 buyer /se l le r(A-H) ( i f p r i v a t e

transaction)

1 . In co m e Ga in Co d e s : A = $1,000 or le ss B = $1,001 - $2,500 C = $2,501 - $5,000 D = $5,001 - $15,000(S ee C o lumns BI and D4) F -$50,001 - $100,000 G =$100,001 - $1,000,000 H 1 =$1,000,001 - $5,000,000 H2 =More than $5,000,000

2 . Va lue Co d e s . I =$15,000 or less K $15,001 - $50 ,000 L -$ 50,00t - $ 100,000 M = $ 100,00 | - $250,000(S ee C o lumns C I and D3) N = $250,001 - $ 500,000 O = $500,001 - $1,000,000 P I = $1,000,001 - $ 5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000,000 P 4 More than $50 ,000 ,0003. Va lue Mclh o d Co d e s Q =Appraisal R = Co s t (Re a l Es ta te O n ly ) S = A s s cs s m e n t T = Ca s h Ma rke t( S c c C o l u m n C 2 ) U = Bo o k Va lue V = O t h e r W = Es t im a te d

E=$15,001- $50 ,000


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N a m e o f P e r s o n R e p o r t in gLake , S imeon T.

D a t e o f R e p o r l04/2~/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a t. e , transactions ( Includes those of spouse an d dependen t children; seepp. 34-60 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)

A. 1 3 . C.Descrip tion o f A ssets Incom e during Gross value a t en d( i n c l u d i n g trust assets) repo rtin g perio d o f rep ortin g p eriod

(l ) (2 ) (1) (2) (1 ) (2) (3)Place "(X)" after each asset Am ount Type (e.g., V alue V a lue Type (e.g., D a t e V a l u e

exempt f rom prior disc losure C o d e l div., rent, C ode 2 M ethod buy, se l l , mm/dd/yy C ode 2(A-H) o r i n t . ) (J-P) C ode 3 redemption) (J-P)( Q - W )

1 8 . Dr. Reddy s Lab ADR (IRA) A Dividend1 9 . Freds , Inc . Common Stock (IRA) A Dividend

20 . Johnson & Johnson Inc . Common Stock A Dividend(IRA)2 1. P ro c te r & G a m b l e In c C om m o n S to c k (IR A) B Dividend

22 . Wa shington M utual Inc . Common Stock None(lRA)23 . Micr osof t Common Stock (IRA) A Dividend2 4 . A ir Tran spor t S erv ic e s Grou p , In c. Com m on NoneStock (IRA)25 . M cCormick Inc . Non-Vot ing(IRA) A Dividend26 . Pfizer Inc. Comm on Stock (IRA) A Dividend27 . 3 M Com pan y ( IRA) A Dividend28 . Alabama Power Co. ( IRA) B Dividend

29 . Trus t#130 . --XCEL Energy, Inc. Common Stock A Dividend31 . --Walgreen Co. Common Stock A Dividend3 2. - -H e w le t t Pa c k ar d C o . C om m o n St o ck A Dividend33 . - -Merr i l l Lynch Mon ey Mar ket Acct A Dividend34 . --Southwest Airl ines Common Stock A Dividend

L TJ T

K T

L T

J T

J TJ TK T

K T

K T

T

K

K

K

J

K

TTTTT

Sold 03/11110 J

B u y 03/11/10 K

Transact ions dur ing r epo r t ing pe r iod

( 4 ) ( $ )G a in I d e n t i t y o f

Code I buyer/sel ler(A-H) ( i f p r i v a t e

t r a n s a c t i o n )

1. I ncomc Gain Codes: A =$ 1,000 or less B :$ 1,001 - $2,500 C = $2,501 - $5,000( Se e C olu mn s B 1 a nd D4 ) F =$ 50, 00 1 - $10 0,0 00 G =$100,001 - $1,000,000 H 1 =$ 1,000,001 - $5,0~0,0~02 . Va lue Co d e s J = $15,000 or le ss K -$ 15,001 - $ 50,000 L = $50,001 - $100,000( S e e C o l u m n s C I a n d D 3 ) N =$250,001 -$500,000 O $500,001 - $1,000,000 PI =$1,000,001 -$5,000,000

P3 -$25,000,001 - $50,000,000 P 4 = M ore than $ 50,000,0003 . Va lue Me th o d Co d e s Q =Appraisal R = Co s t (Re a l Es ta te O n ly ) S = A s s e s s m e n t( S e e C o l u m n C 2 ) U = Bo o k Va lue V = O t h e r W = Es t im a te d

D =$5,001 - $15,000H2 =More than $5,000,000M = $100,001 - $250,000P2 =$5,000,001 - $25,000,000T = Ca s h Ma rke t

E =$15,001 - $50,000


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FINANCIAL DISCLOSURE REPOR TPage 6 o f 9

N a m e o f P e r s o n R e p o r t in gLake , S imeon T.

D a t e o f R e p o r !04/26/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o , , e , v a l u e , t r a n s a c t io n s (lncluacs tl, ost of spouse ann aepena ent children; see p p . 3 4 - 6 0 of filinl," instruction,~.)[~ N O N E (No reportable income, assets, or transactions.)

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 i n g( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d

(1 )Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure C o d e 1 d iv. , r en t ,( A - H ) o r in t . )

35 . - -Apple Comp uter Inc . Common Stock None36 . --Bristol Myer s Squib Co. Inc. Comm on C DividendStock3 7. - -P fi ze r In c . C o m m on S to c k A Dividend38 . - -Microsof t Common Stock A Dividend39 . - -Johnson & John son Co. Commo n Stock B Dividend40 . Merr i l l Lynch M oney Fund B Dividend4 1 . A T& T I nc . C om m o n St o c k A Dividend4 2. A bb o tt La b s C om m o n St oc k B Dividend43 . Trust #2

44 . - -Exxon Corp. Common Stock F Dividend PI4 5 . - -M e r r il l Ly n c h M o n e y F un d A Dividend J4 6 . - -Ab bo t t La b s Co m m o n St o ck A Dividend K47 . - -Genera l Elec tr ic Commo n Stock A Dividend K48 . Pfizer Inc. Common Stock A Dividend K4 9 . N ok ia Co r p . C om m o n St o ck A Dividend K5 0. K e ll o g Co . C om m o n St o ck A Dividend K5 1. H o s p ir a In c . Co m m o n St o ck None J

Gross value at en do f r e p o r t i n g p e r i o d(~) (2)

V a l u e ValueC o d e 2 M e t h o d

( J - P ) C o d e 3(Q-W)

N TL TK TK TK T

L T

J TK T

TTTTTTTT

Transactions during reporting period

O) (~) (3)Type (e.g., Dat e V a l u ebuy , s e l l , mm/dd/yy C o d e 2

r e d e m p t i o n ) (J-P)

Bu y 11/15/10 J( add l )

G a i n I d e n t i t y o fC o d e 1 buyer / se l l er(A - H ) ( if p r iv a te

t r ansac t i on)

1 . In co m e Ga in Co d e s : A = $1,000 o r less B = $1,001 - $ 2,500 C = $2,501 - $5,000 D =$5,001 - $15,000( Se e Co lum n s B 1 a n d D 4 ) F = $50.001 - $100,000 G =$100,001 - $1,000,000 H 1 =$ 1,000,001 - $ 5,000,000 H2 =M ore than $5.000,000

2. V alue C o d es J = $15,000 or le ss K =$15,001 - $50,000 L =$50,001 - $100,000 M -$100,001 o $250,000( S e e C o lu m n s C I a n d D 3 ) N =$250,001 - $ 500,000 O =$500,001 - $ 1,000,000 P 1 =$ 1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000,000 P4 =M ore than $50,000,0003 . Va lue Me th o d Co d e s Q =Appr a i s a l R = Co s t (Re a l Es ta te O n ly ) S = A s s e s s m e n t T =C ash Mark e t( S e e C o l u m n C 2 ) U = Bo o k Va lue V - O t h e r W = Es t im a te d

E =$15,001 - $50,000


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N a m e o f P e r s o n R e p o r t i n gLake, Simeon T.

D a l e o f R e p o r t04/26/2011

V I I . I N V E S T M E N T S a n d T R U S T S -inc~me~va~ue~transacti~ns(~nc~udesth~se~fsp~useanddependentchi~dr~n;seepp~34~6~~f~~inginstructi~ns.)~-~ N O N E ( N o reportable income, assets, or transactions.)

A. B. C.Description of Assets Incom e durin g G ro ss va lue at end(including trust assets) reporting period of rep orting perio d

(1 ) (2 ) (1) (2)Place "(X)" after each asset A mo un t Ty pe (e.g ., V alue V a lu eexempt f rom prior disc losure C o d e l div., rent, C ode 2 Method(A-H) o r i n t . ) ( J - P ) C ode 3(Q-W)

52 . P r o c t e r & G amb l e , I n c . B D i v i d e n d K T53 . Ban k o f Tex as Ac c o un t A Interes t J T54 . C at e r p i l l a r I n c . A D i v i d e n d K T55 . F i d e l i t y Mun i c i p a l Mo n ey M kt a / c A Interes t J T

56 . I sh a re s G lo b a l F in a n c ia l s Se c to r I n d e x A D i v i d e n d J T57 . I s h a r e s S & P G l o b a l T e le c o m S e c t o r In d e x A D i v i d e n d J T58 . K r af t F o o d s B D i v i d e n d K T59 . I sh a r es P ac i f i c E x Jap an I n d ex A D i v i d e n d J T60 . I s h a r e s F T S E C h i n a 2 5 I n d e x A D i v i d e n d J T61 . I s h a r e s E m e r g i n g M k t s I n d e x F d A D i v i d e n d J T6 2. I s h a r e s S & P L a t i n A m e r 4 0 I n d e x A D i v i d e n d J T63 . I s h a r e s G l o b a l M a t e r i a ls I n d e x A D i v i d e n d J T64 . I s h a r e s S & P M e t a l s & M i n i ng E T F A D i v i d e n d J T65 . N u v e e n M u n i V a l u e Fu n d A Interes t K T66 . T e x a s W a t e r A s s i s ta n c e B o a r d B o n d A Interes t J T

T r a n s a c ti o n s d u r i n g r e p m a i n g p e r i o d

(I ) (2) (3)Type (e.g., D a t e V a l u e

buy, sell, m m /d d/y y C od e 2redemption) ( J - P )

So ld 07/22/10 J

( 4 ) ( 5 )G a i n Iden t i ty o f

C o d e I buyer / se l l er( A - H ) ( i f p r iva te

t r ansac t i on)

A

I . In co m e Ga in Co d e s : A =$1,000 or less B = $1,001 - $ 2,500 C = $ 2,501 - $5,000 D =$5,001 - $15,000(S ee Co lu mn s B 1 a nd D4 ) F =$ 50,00 1 - $100,00 0 G =$100,001 - $ 1,000,000 H 1 = $ 1,000,001 - $5,000,000 H2 -More than $5,000,0002. V a lue C od es J = $ 15,000 o r less K = $15,001 - $ 50,000 L =$50,001 - $100,000 M = $100,001 - $250,000(S ee C o lumns C I and D3) N = $250,001 -$ 500,000 O =$500,001 - $ 1,000,000 PI $1,000,001 - $5,000,000 P2 =$5,000,00~ * $25,000.000

P 3 -$ 25,000,001 - $50,000,000 P4 = M o re th an $ 50,000,0003 . Va lue Me th o d Co d e s Q =Appr a i s a l R = Co s t (Re a l Es la te O n ly ) S = A s s e s s m e n t T = Ca s h Ma rke t(S ee C o lumn C 2) U = Bo o k Va lue V = O t h e r W = E s t im a te d

E=$15,001- $50,000


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N a m e o f P e r s o n R e p o r t in gL a k e , S im e o n T .

Dale of Repor t04/26/201 I

V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (lndicate part of report.)SECTION VII

P A G E 5Lin e 28 - - Alab am a Po wer Co. (IRA) i s a new ent ry.


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Name of Per son Repor tingL a k e , S i m e o n T .

Date of Repot!04/26/2011

IX . CERTIFICATION.i c e r ti f y t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , if a n y ) i s

a c c u r a t e , t ru e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a t u t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .I f u r th e r c e r ti f y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f ts w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S .C . a p p . 5 0 1 e t . s e q . , 5 U . S .C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signa tur e: S[ Sime on T. Lake

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 LY F A L S IF I E S O R F A I LS T O F IL E T H I S R E P O R T M A Y B E S U B JE 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 04 )

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

Simeon T Lake Financial Disclosure Report for 2010

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Transcript of Simeon T Lake Financial Disclosure Report for 2010