Thomas B Russell Financial Disclosure Report for 2009

8/3/2019 Thomas B Russell Financial Disclosure Report for 2009

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~ o ~ o FINANCIAL DISCLOSURE REPORT g ~ p o . a ~ q ~ i ~ a ~ y t h e ~ t ~ i~in Government Act oft978~e~ , . 1 / 7 0 t 0 FOR CALENDAR YEAR 2009 ( 5 U. S . C . a p p . I O I - 1 1 D1. P e r s o n R e p o r t i n g (last name. first, middle initial) 2. Court or Organization 3. Date of ReportRussell , Tboma.s 13. United States District Court - 05/13!2010

4. Title (Article Ill judges indicate active or senior status; 5~. Repast Type (check appropriate ~,pe) 6. Reporting Period"magistrate judges ir~dicate full- or pard-time)] Nomination, Date 01/01/2009A~icle III- Active [] Initial [] Armual [] Final tn12/31/20095b. [] Amended Report

7. Chambers or Off ice Address g . On the b*sls o f the inform llion contained In this Rtporl mad anymodlfleations perlatalng th ereto, It I~, in my opinion, in compliance501 Broadway, Federal Building with applicable laws anti regulations.Paducah, KY 42001

Re,~ ew ing Officer Date

IhlPOR TANT NO T ES: The instructions accompanying this form m ust be followed. Complete all parts,checMng the N ONE box for each part where you have no reportable infi~rmatiot~ Sign on last page.

I . P O S I T I O N S . ~R ~o~i .g , . a~ou . .~ o . t~ . : ~ . . r ,. ~ -~ o~ ,~~ NONE ~oreportable positiom.)

POSITION NAME OF ORGANIZATION~ITYI. Pa~er First lnv~tors ofPaduc~ (Inv~tm~t Club)See additional info~ation2.3.

4.

5.

~ NONE ~ro reportable agreements.)~ PARTIES AND TE~S

1.


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FINANCIAL DISCLOSURE REPORT Name of Prson Report ing [ DaeeofReportPage 2 of 10 R u s s e l l , T h o m a s B . [ 0 5 / 1 3 / 2 0 t 0

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 r ~ . g i. ~ , - ,, s ~ .. ~ ~ o ~ : , ,~ . ~ ~ - 2 ~ , ~ a ~ ~ . ~ , ~ , i o ~A. Filers Non-Inve stment Income

N O N E (No reportable non-inves~nent income.)D A T E SOlaCE h~ TYPE ~(yours, not s~uses)

1.2.3.4.

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - if.you were marri~rd durL.:g any portion of the reportlng year, complete this section.(Dollar amount not required ~cept for honoraria)[~] N O N E (No reportable non-investment income.)

D A T E SO U R C E AN D T Y PE1.2.3.4.

I V . R E I M B U R S E M E N T S - t. . . ~ p o .~ . ~ i. ,. , ~,~g~ .~ , ~ o .~ , e . ,~ ,~ i . . . . c(Includes those to .s~mse and dependent children: see pp. 25-27 of filing inrt~tions.,J

NONE (No rt~ortable reimbursements.)~ ~ LOCA~ON ~ I T E M S P A I D O R P R O V I D E D

I.2.3.4.5.


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FINANCIAL DISCLOSURE REPORT ~ . m e o r e o r s ~ . R e p o ~ t i n g[

DateofRepottPage 3 of 1 0 R,~s~,rho,,.~ ~. 0 5 ~ 3 / ~ 0 ~ 0

~ N O N E (No reportable g~s.)~ DESC~PTION ~

3.4.5.

V I . L I A B I L I T I E S . (tnct~ae, ,~o~e of sp ...... a atp,,a~m cmtdten: see rp. ~2.~ o~~ li~g tnst,,c,lo,,s.)N O N E ( N o reportable liabilities.)

.C.. _P~E D I T~.LT_.Q~ DESCRIPTION VALUE COD E1.2.3.4.

5.


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N a m e o f P e r s o n R e p o r t in g [ D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORT R u s s e ll , T h o m a s B .age 4 of 10[

0 5 / 1 3 / 2 0 1 0

VI I. INVESTMENTS an d TRUSTS - i, ...... .,tu,, tr ..... lions (Includes those of sp ..... d d e p e n d e n t c h i l d r e n : s e e V p . 3 # - 6 0 o f f i l i n g i n s ~ u c t ~ n s .)N O N E (No reportable income, assets, or transactions.)

A. B. C . D ~D e s c r i p t i o n o f A s s e ~ I n c o m e d u r i n g G ro s s v a l u e a t e n d T~sactions during reposing period(including ~st asse~) reposing period e f r e p o s i n g p e h o d

{t} [ (2) {~ ~ 1~) (~ y ~-(~ ....... ( 4 ) ( 5 )P l a c e " ( X ) " a f te r e ~ h a s s e t Amount : Type (e.g., V a l u e ~ Value T~ (e.g., D a t e Value G a i n [denti~ ofe x e m p t fr o m p r i o r d /s e l o ~ e C~e I . div. , renL C o d e 2 M et h o d buy. sell, m m / d ~ / y y C o d e 2 C o d e I buyer/seller~A-H) ~ o r i n t . ) ( J - l ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - ! I ) ( i f p r i v a t e~ .........~ : (Q-~ . t r a n s a c t i o n )

t. Chec~g Accost - Paduc~ Bank A Interest J T2. Checking Account - Re~ons Bank A Interest J T3. I~, UBS(See Sec. VIII) A Dividend L T4. AmerFDS Cap. W ord Cm Inc.

5. American Mutual Fun~6. Amer. Funds Investmentg Co. of America

7. Am er. Fun~, W ~hin~on Mull Investors8. 1~, UBS~See Sec VIII) A Dix4dend K T9. AmerFD S Capital World Grow~

1 0. A~ner. Fun~. Investment Co. of Am erica1 1 . Sa~ngsAcck Regions Bank A Interest J T1 2 . Common StocL Regions Bank A Dividend K T1 3 . I~ -Reglans B~ (See See . VIII) A Divilnt N T1 4 . Fed. Natl Mo~ Assn Buy 10/15/09 J A1 5 . U.S. Tre~s. SEC Stfp Buy 08/15/09 J A

1 6 . RegionsT~t Money Market1 7 . Federa l F~ Cr~i t Bank Sold 2/I/08 J A


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l~ame of Person Reporting Date of ReportFINANCIAL DISCLOSURE REPORTR ~ I , T h o m a s B .age 5 of 1 0

V I I . I N V E S T M E N T S a n d TRUSTS - i .... o, value, tr ..... "tion$ (]nelud$ those of w ...... d dependen, chHdren; see pp. 34-60 of filing ~nstructionx.)N O N E ~ro reportable income, assets, or ~ansactions.)

A. ~ B. C. D.Des~ipi [on of As~ts [ Incom e during G ross value at end T~nsact+ons du~ng repoaing pcfiD d(including l~st assets) reposing period of re~ing period(~ )

Pla~"(X)"a~r each asset Amount T~e (~.g., Waluc , Vatue T~e(e.g , Date [ Value Gain ~ [denti~ ofexempt ~om p ~or di~losure mngd~yy ~ Code 2 [ Code I[ (A -H ) orint) (J-P) ~ Code 3 redemption) (JP) t ( A-H) ~ (ifp~vate(~W) ; tr~saction)

18 . Fede~l Home Loan Bank

1 9 . Allianz CCM Capital - Mutual Fund2 0 . American Century Equity Income - Mutual

Fund2 1 . Federated Kaufmann CL - Mutual Fund2 2 . Goldman Sachs Mid Cap - Mutual Fund Sold 10/14/09 J A2 3 . Fidelity Diversified lntl Fund - Mutual Fund Sold 1 0 / 1 4 1 0 9 1 A2 4 . First Investors of Paducah (See Se. VIII) A Dividend K T2 5 . U S B n n c ( c o m m o n )2 6 . IBM(co.aaron)"~ 7 Abbx~tt Lab (common)

28 . Cisco Sys(ommon)

2 9 1 lnlel (c~rnmon)30 . Schlumberge (cDmmon)

3 1 . Simon P ( c e m m o n )

3 2 . Anadarko ~conunon)

3 3 . Loews (common)34 . Fastenal (corrur :on)

(See C01"~ B I and ~) F =550,~1 - $ I ~,t~0 G =$ 100,00t - $ 1,000,0~ H I =$1.0~0.~1 - $5,~)0.000 112 =~ than $5,0~.~0

P3 ~$25,000,001 - $50.000,000 P4 =More than $50,0~,000


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FINA1NCIAL DISCLOSURE REPORT Name of Person Reporting [ Date of Report[ Russo I, Thomas B.age 6 of 10 0 _ ~ / t 3 / 2 0 ~ 0

V I I . I N V E S T M E N T S a n d T R U S T S -/ ~ ....... t.,, tr ..... tions (Znclude~ those o/sp ...... d dependent children; seepv. 34-60 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)

A. B. C. D.Description of Assets i Income during j Gross value at end Trimsactions during reporting period(including trust assets) [ reporting period !, of reporting period

Place "(X)" after each asset ,Amount [ Type (e .g . , Value Value T3,qpe (e.g., ~ Date i Value Gain Identity ofexcrapt from prior disclosure i Code 1 div., rent, Code 2 Method buy, sell, [mmiddiyy Code 2 Code I buycrlsclleror intd (J-P) Cede 3 redempt~ J ( A - I t D ( ifpr ivate(Q-W) transaction)

35. Microsoft (conrnon)

36 . C ok e ( corr ma on )

37 . Johnson (commen)

38 . Minnesota (3M) (common)

39 . BB & T Corp. (common) Sold 8/12 J A(part)

40 . Proctor (common)

41 . CSI (common)

4 2. Exon Mobil (common)

43. Oracle (common)

4 4 . Texas Instruments (common)4 5. C0mcast (common)

46. Walgreen (common)

47 . Adobe Sys (common)

4 8 . B.P. PLC (common)4 9. Hospira (common)

50 . Eb~y (common)

5 1. T e x a s ! ri ds (c o rr a- a on )

I. Incom e G a i~ CodcJ : A =$ t,O 00 o~ 1~ B ~$1 ,00 ~ - $2j0 0 C -$2 ,~0 1 - $5.0 00


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FINANCIAL DISCLOSURE REPORT n .... IP ..... Reporting [ DateofP a g e 7 o f 1 0 Russell, Thomas B .I

05/I 3/2010

NONE ~o reportable income, assets, or transactions.)D~crip~on of Asse~ Income d~ag G ross va lue a t end T~nsactioas during repoaing

{includ{ng trust assets) r~ing pefod of reposing pe6~~ (0 (2 ) (0 ( 2 ) ( ~ ) [ (~) (3) (~) (5 )Place "(X)" a~er each asset Aren.t Ty~ (e.g, Va~ue Value Ty~ (e g, : Date Value Gain IdcntiU ofexempt from prior disclomare div., rent, Code 2 Me~od buy, sell, ~d~ Code 2 [ Code I buyer/seller: (A-H) or int.) {I-P) Code3 redemption) ~ (J-P) [ (A-II) (ifp~vn~( Q - W ) ~ ~ ~nsaction)

5 2 . Apple (comt~on)

5 3 . Kaucx (common)

5 4 . Islaares (IWM)(eommon)

5 5 . Best Buy (common)5 6 . Helix (common)

! 5 7 . Allscripts (common)

!58. SL F5 9 . P o r t f o l i o

6 0 . SPDR

6 1 . C i t i g r n u p6 2 . Trinity

6 3 . Dell

6 4 . Scadrill (previously mishbled as ScandriI!)

6 5 . Wells Fargo

6 6 . A IG6 7 . Gilead6 8 . China Mobile


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Name of Person Reporting

[

Date of ReportFINANCIAL D IS CL O SU R E R EP O RT.Page 8 of 1 0V I I . I N V E S T M E N T S a n d T R U S T S - i . . . . . . . . . t . . , , . . . . . . no , , . (lncl.de,* those of w ...... d depemdent children; See pp. 34 -60 of fillng t ..... tlot~.)--] N O N E (No reportable income, assets, or transactionsJ

Description of Assets lncome during Gross value at end Transactions during reporting period{including trust assets) . rcpoaing period ! of repoaing period

i (I) I (2) (1) ~2) (I) ! (2) " (3) (4) (5 )Plaee "(X)" after each asset :Amount I Type (e.g. , I v ue i Value T)qge(e.g., D ate Va lue Gain , Identity of

exempt ~omI~ior disclosure i Code 1 ] div., rent, ! Code 2 Method buy, sell, im r rddd /yy ~ Code 2 Code 1 buyer/sel|er(A-H) ! or int) (I-P) Code3 redemption) (J-P) ( A - H ) (if private( Q - W ) . , [ transac,ion)

69. Coming7 0 . F l u o r

7 1 . N a t i o n a l

7 2 . US Steel7 3 . Clean

7 4 . Sigma

7 5 . KYTF X Buy 0 9 1 1 8 / 0 9 J7 6 . A m S e m i B u y 0 9 1 1 4 / 0 9 J

7 7 . Cresud Bu y 09/14/09 J

7 8 . Am Orien Bu y 0 1 1 1 2 A 3 9 J7 9 . Sold l/01/09 : J A8 0 . Direxn Bu y 0~23/09 J8 1 . Sold 06/05/09 J A

P3 -$~,~0,~1 - $50.0~.000 P4 =Mor~ t h~


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FINA~NCIAL DISCLOSURE REPORT ~ ..... f P . . . . . R e p o r t i n g D a t e o f R e p o r tPage 9 of 10 Russell, Thomas B. 05/I 3/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a.dic~,~p~,o/Repo~)

I . P O S I T I O N S

In October of 1996, [ became a mem ber of an investment club known as First lnvcstors of Paducah. which is organized as a partnership. There are 15 partakersdivided into 7 teams. Each team invests their portion. 1 only have control over the investment of my team, which is invested in 10 companies. I do hav e a 1/15interest in all investments.VII. INVESTMENTS AND TRUSTS(No. 3 - 7) IRA- URSI am not consulted, nor do I participate in the management, nor selection of 0ae ~utual funds or investments.(No. 8 -10) IRA - U[3SI am not consulted, nor do I participate in the management, nor seleclion of the mutual funds or investments.(No. 13 - 23) IRA - Reg ions Banki have an IRA w ith Regions Bank and UBS. Other than making an allocation choice betwccn bonds, stocEs, money markets, etc., I have no control over the IRAaccount. 1 am not consulted nor do I give advice on the individual investmcn~s.(No. 24-81) First Investors of Paducah is an investment club organized as a paa nersbip. There are 15 partners divided into 7 teams. Each team ma kes anindependent investment of their portion. I have no control over the investments of the other 6 teams. I do have a 1/15 interest in all of the investments. Items 24thru 81 represent the stock investments of the club.No. 17, Federal Farm Credit Bank. It appears I made an error in including that as a part of my IRA for 2008. It was sold 2/1/08.


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FINANCIAL DISCLOSURE REPORT ~ .... fP .... R e p o r t i n g [ Dal of ReportPage 10 of 10 Russell, Thomas B .I

05/13/2010

IX. CERTIFICATION.I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) isaccurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutoryprovisions permitting non-disclosure.I furlher certify that earned income fiom outside employme nt and honoraria and the acceptance of g ifts which have been reported are incompliance w ith the provisions o[5 U.S.C. app. 501 et. seq ., 5 U.S.C. 7353, and Judicial Conference regn lations.

NOTE: ANY INDIVIDUA L W ttO KNOWINGLY AND ~V1LFIILLV FAI~S1FIES OR FAILS TO FILE TIIIS REPORT MAY BE SUBJECT TO CIVILAND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSMail signed original and 3 additional copies to:Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

Thomas B Russell Financial Disclosure Report for 2009

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