David C Norton Financial Disclosure Report for 2010

8/3/2019 David C Norton Financial Disclosure Report for 2010

1/14

AO JO 1 FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0 Report Required by the Ethicsin Government Act of 1978(5 U.S.C. a pp. , ( ,~ 101-111)I. Person R epor t ing ( las t name, f i r s t , middle ini t ia l )

H o t t o n , D a vi d C .

4. Ti t le (Ar t ic le !11 Judges indl~ t t e ac t ive or senior s ta tus ;magistrate judges indicate full- or pard-t ime)

U . $. D i s ~ c t C o u d J u d g e

7 . Chambers o r O f f i c e A d d r e s sP.O. Box 835Char les ton, SC 29402

2. Court or Organizat iOnU. S . D is t r i c t Com a

R epor t Type ( c h ec k = ppr opr i a te t ype )] Nominat ion , D a t e[] Initial [] Annual [] Final5 6 2 [] A m e n d e d R e p o r t

O n t h e b a s i s o f th e I n f o r m a t i o n c o n t a i n e d i n t h is R e p o r t a n d a n ) m o d i f i c a t i o n s p e r t a i n i n g t h e r e t o , i t i s , I n m y o p l o l o n , i n o m p l i a n c ew i t h a p p l i ca b l e l a w s a n d r e g u l a t i o n s .

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

3 . D a t e o f R e p o r t0 5 1 1 3 / 2 0 ! I

6. R~por t lng Per iod0 1 !0 1 / 2 0 1 0

to12/31/2010

I M P O R T A N T N O T E S : The instruction~ accompanying th~ .form must be followed. Complete all part*,checking the NONE box.for each pa rt where yoa have no reportable in. formation. ,Sign on last paga-

P O S I T I O NI. C o -T rus tee T rus t (T ru st # 1 )2. Trus tee Artic le 5 Trust3. Truste~ Artic le 6 Trust4.5.

NAME OF ORGANIZATION/ENTITY

N O N E (N o reportable agreement&)PAR,TIES AND TERM S


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FINANCIAL DISCLOSUR E REPORTPage 2 of 14

N am e o f Pe r s on R epor t ingN o r t o n , D a v i d C .

D a t e o f Re p o r t0 5 / 1 3 / 2 0 1 i

I I I . N O N - IN V E S T M E N T I N C O M E . Ropo ,, lng In dl , t ,~.o~ o, ,~ ,po, ,o: ~o, ~ ,~, 17-2,A. Fliers Non-Investment Income

D (No reportable non-investment income.)ONE. D _ _ A T E ~OLIR(~E A~ID TYPE INCOME~your s , no t s p o u s e s )

! . 201 0 C h a r le s to n S c h o o l o f L a w $24,7802.

3.4.

B. Spouses Non-Inves tment Income - tSy ,u ~re married during any pertion of the reporang year, complet~ this section.( D o l l a r a m o u n t n ~ t r e q u i r e d e . x c e p t f o r h o n o r a r i a . )

~ (No reportable non-investment income.)ONE

i . 2 0 1 02 . 2 0 1 03.4.

S O UR C E A N D T Y P EF ul t o n Co un t y Me d i c a l E xa m i n e r , A t l a n ta , G A . - S a l a r yW e b MD - E d i t o r i a l S t i l ~n d

IV. REIM BURSEMENTS -,~=mn.n,,~(Includes t~e to ~e ~ ~ chil~n: see ~. 25-27 of fili~~ ~o repor table reimbursement .)ONE

2.3.4.5.

~ O U R C E ~ L O C A T I O N p U R P O S E ITEMS PAID OR PROVIDED


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FI NANCI AL DI SCLOSURE REPORTPage 3 o f 14

N a m e o f P e rs o n R e p o r t in gNorton, David C.

D a t e o f R e p o r ~051131201

V. G JETS. (lncl~tclc$ those to spouse and dependent cldldrcn; $e pp. 28-.I! of fdlng insttuction~)

N O N E (No reportable gifts.)SOI./RCE I~ESCRIPTION

I.2.3.4.

5.

[~] N O N E ( N o repo rtable l iabi l i t ies .)C R E D I T O . R . D E S C R I P T I O N

I.

4.

5.

,VALUE CODE


4/14

F IN A N C I A L D I S C L O S U R E R E P O R TPage 4 o f 14 iam e o f P e r s on R epor t ingN o r t o n , D a v i d C . Date of Report05/I 3 /2011

V I I . I N V E S T M E N T S an d T R U S T S - ~ , c o = ~ . ,, ,. ., ~ i o . , a . c l ~ , h o ~ . o / .p o . ~ e . .d d c p e ~ d c n , children; see p p . 3 4 - 6 0 of f!llng lt~truclio~r.J~] N O N E ( N o reportable income, assets, or transactions.)

A. B. C.D ~ c H p t io n o f A s s e t s Incom e during G ro ss ~lue at en d( i n c l u d i n g t r u s t a s ~ e ~ ) r e p o r t i n g p e r i~ of ~ing ~

P l a ~ " (X)~ ~ f l ~ ~ ~ t A m o u m T ~ ( e . ~ , , V ~lue V alue~pt ~m pfi~ di~lo~e ~ I div., ~ ~ 2( A - H ) o r i n L ) ( J - P ) C~ 3( @ W )

O)Typ~ (e.g.,buy, se l l

r~emption)

T r a n s a c f i 0 o s d u r i n g r e p o r t i n g p e r io d( 2 ) ( 3 } (4) ( ~ )D a t e V a l u e Gain Ident iq of

m m !dd!yy C ode 2 C ode I b u y ~ r / r , e l l e r( J - P ) (A -H ) (if private

~ansae t ion)

I. AES Corp N o n e J T2. AFLAC Inc N o n e L T3 . A l c a t e I- L u c e n t A D R N o n e Sold 11130110 1 A4. A lc o a I n c5. Al l i a n z L i f e F r a n k li n V a l ue ma r k6. A l t ~ a G r o u p

A D i v i d e n dA D i v i d e n dA D i v i d e n d

JL

TTT

S o l d I 1/30/10 J(par t)

7. A m e r i c an E x p r e s s C o8. A m ~ c a n l n t l G r o u p l n c9. A m e r i c an I n t l G r o u p i n cI 0. A m ~ x i pr i~ F in a nc ia l I ncil. A m g e n In c

A D i v i d e n dN o n eN o n eNo n e:N o n e T

S o l d 1 1 / 3 0 / 1 0 J AS o l d 1 ! /30 /10 J AS o l d 1 1 / 3 0 / 1 0 J A

12 . AOL l nc N o n e Sold i 1/30/10 J A1 3 . AT&T

1 4 . A T & [ I n cA DividendA Dividend J

TT

i 5 . A T & T l n c1 6 . B a n k o f A m e d c a

A D i v i d e n d JA D i v i d e n d K

TT

! 7 . B a n k o f N e w Y o r k M e l l o n C o r p A Dividend J

Z V a l u ~ C o~- $ S o . o o l - S l- $ 2 ~ O J X ) I - $ ~ o . 0 o o~ , . s z s , o o o , o o t - s s o , o o o . o o o-Book Value

G -4 IO0,O01 - $1,000,000K " 41S , O0 1 -o , - s so o . o o ~ - s L o o o . o o o

C ,=$2.~o! $~.oooHI =$ 1,0~0.0OI L-$50.IX)I - $10O,000P! -,$1.000,0OI -P 4 - M o ~ ~ m $ 5 0 , 0 ~ 0 . O 0 0W = E ~ t i m ~ d

D =$5,001 - $1~,0~31.12 =Mort ~haa$5.000,000M =$100.0OI - $2~O.0~0P2 -$5.000.001 - $25,000,0~T ~ Ivla~e!

E-$ I .~ ,001 - $ 5 0 , 0 0 0


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FI NANCI AL DISCLOSURE REPO RTPage 5 o f 14

N am e o f Pe r s on R epor t i ngN o r t o n , D a v i d C .

D at e o f R epor t05!1312011

A. B.Description of Assets Income dur ing Gross value at end( including t rus t a s s e t s ) repor t ing 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) o) (2)P ~ a c e " ( X ] ~ a ~ e t e a c h a s s e t A m o u n t Type (e.g., V ~ / u e V a l u ee x e m p t f r o m p r i o r d i s c l o s u r e C o d e I d i v . , r e n t , C o d e 2 M e t ho d{ A - H ) o r i n t . ) 0 " P ) C o d e 3

T r a n s a c t io n s d u r i n g r e p o r t in g p e r i o d( I ) (2) (3) O) ( ~ )T y p e ( e .g . , D a t e Value G a i n Ident i ty ofb u y , s e l l , m m /d d / y y C o d e 2 Code ! buyer/sel |erredemption) ( J - P ) ( A - H ) ( i f p r i v a t et t a n s a c t l o n )

1 8 . Berkshire Hathaway lnc CI B1 9 . B P P L C S p o n s A D R20. B r i s to l M y e r s S q u i b b2 1 . C a p it al W o rd G r ow th a n d In c o m e Fd C L A22 . Capital World Growth and Income Fd CL A2 3 . Capital World Growth and Income Fd CL A2 4 . Capital World Growth and Income Fund CLA2 5 . C h e v ro n C o q ~ B26. C h e v r o n C o r p A27 . C h e v r o n C o r p A28 . Cisco Sys lnc2 9. Citadel Broadcasting Corp3 0. Citadel Broadcasting Corp3 i. Ci t ibaak Deposi t P r o g r a m A3 2 . Citibank Depos i t P rogram A3 3 . C i t i b a n k l ~ s i t P r o g r a m A3 4 . C i t i g ro u p I n c

None

A D i v i d e n d

A D i v i d e n d

A D i v i d e n d

A Div idendA D i v i d e n dA D i v i d e n d

j IKJKKKJ

TTTTTTT B u y 0 3 / 0 3 / 10

D i v i d e n dD i v i d e n dD i v i d e n d

N o n eN o n eN o n e

Inte res tInte res tl n t e ms tN o n e

KKKJ

JKKJ

T

TT

T

T

T

T

T

So ld 07 /01 /10ISold 07 110 /10

JJ

AA

E.~I5,O01 - $ 5 0 , 0 0 0


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FINA1NCIAL DISCLOSURE REPORTPage 6 o f 14

Name of Person Report ingN o r t o n , D a v i d C .

Date of Report05/13/2011

N O N E ( N o reportable income, assets, or transactions.)D c ~ " i p t i o n o f A s s e ~ s Income during( 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)P l a c ~ " ( X ) " a f t e r e a c h a s s e t A m o u n t T ~ p e (e.g.,e x e m p t fr o m p r i o r d i s c l o s u r e C o d e 1 d i v . . r e n t ,(A -H ) o r i n t . )

G r o s s v a l u e a t 7 " K 1o f r e p o r t i n g p e r i o d(I) (2)V ~ l u e V a l u e

C o d e 2 M e th o d( J - P ) C o d e 3( Q - W )

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 ) (2) (3) (4) (5 )

Tyl~ (e .g. , Date V a l u e G ain Iden tity o fb u y , se ll, m m/dd /y y C ode 2 C ode I buy e r / se l l e r

red~aption) (J-P) (A -H ) (if privatet r a n s a c t i o n )

35 . C o c a - C o la C o A Div idend36 . C o m c a s t C o r p C L A A Div id e n d37 . C om c as t C orp CL A A Div idend38 . C SX Corp A Div idend39 . D e l l l a e N o n e4 0. Walt Disney Co A Div idend4 1 . Walt Disney Co A Div idend

J

J

J

K

J

J

TTTTTTT

4 2. W altD isn ey C o43. D o v e r~ 4 4 . DowChemica l4 5. DowChemica l

A Div idend J TA Div idend K TA Div id e n d J TA Div id e n d J T

46 . E I D o p o n t C o4 7 . E a to n V a n c e T a x F r e e F u n d C L A4 8 . Eaton V a n c e T a x F r c F u n d C L B4 9 . El i L i l ly & C o50 . Eli L i l ly & Co

A D i v i d e n d K TD I n t e r e s t N T

A D i v i d e n dB D i v i d e n d K TA D i v i d e n d J T

M e r g e d( w i t h l in e 47 ) K

51 . E m e r s o n E le c t ri c A D i v i d e n d K T

0 -$$.00t - $2..~00G = 1 1 0 0 , 0 0 1 - $ 1.000,000K, , , $ I S , 0 0 1 - $ 5 0 . 0 0 0O= $ J . 0 0 , 0 0 1 - $ 1 . 0 0 0 . 0 0 Og . * C o ~ t ( R e , l E m t ~ O a l y )V

C ~$ 2 . ~ t - $5o000H I - $1 ,000,001 -L =$50,001 - $100,000P I - $1 ,000 ,001 -P4 =M ore Ih aa $50 .0 0 0 .0 0 0

l ean $ 5 , 0 0 0 , 0 0 0~$100.001 - $250,000,-$5,000,001 - $25,000,000

T - C a s h M a A ~


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FI NA]~CI AL DI SCLOSURE REPO RTPage 7 of 14

N a m e o f P e r s o n R e p o r t i n gNorton , David C.

D a t e o f R e p o r t0 5 1 1 3 1 2 0 1 1

V II. INVESTM ENTS and TRUSTS - ~,,eo,,,~ ,~t,,e. t,o=o cao~,~] NONE (No reportable income, assets, or transactions.)

A. B. C.1>~scdpt ion of Asse~ I nc ome du r i ng Gro~ value at end( inc lud ing t ru s t a s se t s ) re p o rtin g pe r io d o f re p or tin g p e r io d

(|) (2) (i) (2 )P l ac ~ " (X ) " a~ r e ac h as s e t Amount Type (e.g., Va lue Va lue

exempt f rom pr io~ d lsc losuR Codel d iv . , Rn[ , C O d ~ 2 Med ~ o d( A - H ) or int.) ( . l .P ) C o d e }( Q - W )52. Energy Transfer Partners LP None K T

53. Energy Transfer Partners LP None K T

54. E x p e d ia Inc A Dividend55 . E x x o n M o b i l C o r p A Div id e n d J T56. Exxon Mobil Co~p A Dividend K T

57. F a i r p o in t C o m m u n ic a t i o n s ln c None58 . Fairpoint Communications Inc None59 . Federal Hom e Ln Mtg Corp None6 0 . Federa l N a d o n a l M o r t g a g e Assn N o n e61. First Federal of Charleston C i n te r es t O T

62 . First Financial H o l d i n g s In c C Dividend M T63. First Financial Hold ings In c A Dividend K T64 . G e n e r a l Electric Co A Dividend K T6 5 . Genera l FJectric C o A Dividend J T6 6 . G e n e r a l E l e ct r ic C o B Dividend K T67. Goldm an Sachs Group inc A Dividend J T6 8 . Grow th Fund of Am erica CL A A Dividend K T

( I )T y p e ( e . g . ,

b u y , s e l l ,ruiemption)

DoT 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(2) (3) (4) ( 5 )D a t e V a l u e G a i n Identity o f

mm/dd/yy Code 2 C o d e 1 b u y e r l s e l l e rOP) (A-H) (if private

Sold 11/30/10 J A

S o l d 11/30110 J ASold 1 1 / 3 0 1 1 0 J A

Sold ! 1 1 3 0 / 1 0 J ASold 1 1 / 3 0 1 1 0 J A

E . . g 1 5 . 0 0 1 - $ 5 0 , 0 0


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FI NANCI AL DISCLOSURE REPO RTPage 8 of14

N a m e o f P e r s o n R e p o r t i n g

Norton, David C.D a t e o f R e p o r t

0 5 1 1 3 / 2 0 1 1

VII. INVESTMENTS and TRUSTS -N O N E ( N o reportable income, assets, or transactions.)

A. B. C.D e s c r i p t i o n o f A . s s e ts Income dur ing Gro.~ value at end

(inc lu ding trust asse ts) reporting period of reporting perind(D (2) ( l ) ( 2 )place "(X)" after each asset A m ou nt T y p e ( e . g ., V a l u e V a l u ee x e m p t fr o m p H ~ d i s c l o s u r e C o < l ~ I div., rent, C . x x l e 2 Method( A -H ) o r i n t . ) (J-P) C ode 3

( 1 )T y p ~ ( e . g .,

b t ~ , , s 1 1 ,t r d e m p t i o n )

Transact ions dur ing repor t ing per iod(2) (3) (4) ( 5 )Date V a l u e Gain [dentity of

m m /dd /yy C o ~ 2 Co d e I buyer/se l le r(J-P ) (A .H} (if private

t . ra n s a c l i o n )

69 . ~wwt h F und o fA m e r ic . a C L A7 0. G row~ Fu nd o f A m e r ica C L A7 1 . Guided Therapuetics lnc7 2. Hartford Financial Serv ices Grp7 3. Hartford Capita l Appreciat ion Fund ( IRA)

A Div id e n dA Div id e n d

N o n eA Div id e n dA Div id e n d

K T

J TJ TJ T

M T

B o y 0 3 1 0 3 / I 0

7 4. H e w l e t t P a c k a r d C o

75 . H o m ~ D e p o t l n c

7 6. H oneywel l In t l Inc

7 7 . H S N I n c

A Div id e n dA Div id e n dA Div id e n d

N o n e

TTT

Sold 11/30/10 J A78 . I A C/ l n t e r a c t i v e C o r p

7 9. IB M

8 0 . Idearc lnc

N o n eI Dividend

NOne

S o l d I 1 3 0 / I 0

S o l d 0 1 / 2 8 / 1 0

81 . I de ar e lnc None Sold 01/28/I0 J A8 2 . I n t e l ( I R A ) A Dividend K T8 3. I n t ~ l

8 4 . I n t c r v a | L~i sm O n , u p I n c

A Div id e n d J TN o n e Sold 11130/101 J

85 . J o h n s o n & J o h n s o n A D i v i d e n d J T

I.~ Gain ..o~:( S e e ~ B I a M 134)2 . Va~ue ~{Se~ ~hur~ Cl a n d D 3 )

A . ~ 1 . 0 0 0 o r l e ~F , - $ 5 0 . 0 < ) 1 -J = $ 1 5 , 0 0 0 c * ~N , - $ 7 . 5 0 , 0 0 1 -P 3 - ~ 2 . 5 , 0 0 0 D 0 1 - $ 5 0 , 0 0 0 . 0 ~ 0U ~ S/elm

B , - $ L 0 0 t - $ 2 , S 0 0O , , $ 1 0 0 , 0 0 1 . $ 1K - 1 I ~ . 0 0 l -O - $ ~ 0 , 0 0 1 - $ 1 , 0 0 0 , 0 0 0R ~ (Re*} E r a . a t e O n l y )V . . 4 3 0 ~

C -,~2.~01 - $5.000H I . . $ 1 , 0 ~ , 0 0 1 - $ 5 . 1 ~ 0 . 0 ~ )L-$ 50.001 - $ 100.000PI .-$ I.DO0,(X)I -P 4 * , M m , e t h a n

D , - $ 5 . 0 0 1 - $ 1 5 , ~ 0H 2 - M o t e I l m nM . .$ 1O0.001 - $ 250.~ 0i 2 -$ 5 .000J301 -T - , C a s ~ M a r k e t

E =~1 5.0 0 1 - $~) , 0 0 0


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FINANCIAL DISCLOSURE REPORTPage 9 of 14

N a m e o f P e r so n Re p o r t in gN o r t o n , D a v i d C .

Date of Report0 5 / 1 3 / 2 0 1 1

V I I . I N V E S T M E N T S a n d T R U S T S - ~ o , ~ o . v o t u o . , ,~ , , a ~ o n ~ O n a , ~ , , ,h o , , o l s p o t ,, u n d d , ,, ,d , , , c h i t d , ,~ . . ,o, r~. J,-60 o f S ~ t i n g i ~ , , , io ~ , . SD N O N E ( N o reportable income, assets, or transactions.)

A. B. C.D ~ s c f ip t i o n o f A s s e t s Income during G r o s s v a l u e a t e n d( i n c l u d i n g t r u s t a s s e ts ) r e p o r t i n g p e r i o d o f r c p o t t i n g p e r i o d

(I) (21 (I) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( g ., V a l t~ e Valuee x e m p t f r o m p r i o r d i s c lo s ~ r ~ Code I 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 )

86. K i m b ~ r l y C l a rk87 . Kraf t Foods ine CL A88 . L e g g M a s o n P a r tn e r s A g g r e s s iv e G r o w th

F D C L C89 . L e g g M a s o n V a l u e T r u s t90 . L in e o l a N a t i o n a l C o r p9 1 . L in e il a N a ti o na l Li fe A n n u it y (I R A )92 . L S I L o g i c Co r p93 . M F S S o u th C a r o l i n a M u n i B o n d C L A94 . M F S S o u th C a r o l i n a M u n i B o n d C L B95 . Mass Mu tua l Li f e Ins96 . M e Do a a ld s C o r p97 . M e r c k & C o l n e N e w9 8. M e tl if e L if e & A n n C o o f Co r m T LA C P o r tA r c h99 . Me t l i fe L i f e & An n C o o f Co n n TL A CMarqu is Po r t fo l io1 0 0 . M ic r o s o f t C o r p1 0 1 . J P M o r g a n C h a s e & C o10 2 . Mo t o r o l a

A Div id e n dA D i v i d e n d

N o n eA D i v i d e n dA D i v i d e n dA D i v i d e n d

N o n eA In te r e s tA Inte res t

N o n eA D i v i d e n dA D i v i d e n dA D i v i d e n dA D i v i d e n dA D i v i d e n dA D i v i d e n d

None

J TJ TJ TKJ

T

T

T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d(l) (2) (3) (4) (5 )Type { e .g ., Date V a l u e G ain Iden tity o f

b u y. se ll, m m/dd /y y C ode 2 C ode I buyeT/sellerredempt ion) (J-P) (A -H) (if private

transaction)

S o l d 11/30!10 J AO T

K TK TJ TK TJ TM TN TJ T

J TJ T

E * $ 1 5 , 1 ) 0 1 - $ ~ ) , 0 0 0


10/14

FINANCIAL DISCLOSURE REPORTP a g e 1 0 o f 1 4

N a m e o f P e r se a Re p o r t i n g

, N o r t o n , D a v i d C .

D a t e of R e p o r ~0 5 1 1 3 / 2 0 1 1

V I I. IN V E S T M E N T S and T R U S T S -N O N E ( N o reportable income, assets, or transactions.)

A. B. C.

D e s c r i p 6 o n o f A s s e L s I n c o m e d u r i n g G r o s s v a l u e a t e n d( inc lu d ing ~s t as~ts ) ~poning poriod of ~po;l ing pe~od( I ) ( 2 ) ( I ) ( 2 )P~e "(X)" aP,~ each asset Amoum Type (e.&, V a l u e V a l ueexempt from prior disclosure C ode I div., renl, C ode 2 M c ~ ho d( A -H ) o r i n L )

1 0 3 . M o to r s L iq u id a t io n C o . N o n e0 4 . 3 M C o m p a n y A A Div id e n d

1 0 5 . N C R ~ o r p N e w N o n e1 0 6 . N o k i a C a r p A Div id e n d0 7 . N o r f o l o k S o u t h e r n B Div id e n d

108. N o r ~ h C ~ r o l in a R ~ n t a l P r o p e r ty 1 0 0 % B R e n tTransy lvan ia County , NC1 0 9 . P a r a g o n L i f e F i x ~ F u n d N o n e

I 0 . P e p s i c o l n c A Div id e n d1 ! . Pf i zer Inc A Div id e n d12 . P f i z e r I n A Div id e n d13. Phi l l ip ldorr i s ln t l l nc A Div id e n d1 4 . P r o c t o r & G a m b l e A Div id e n d15 . P r o c t o r & G a mb l e B D i v i d e n d1 6 . P r o g r ~ E n e r g y A D i v i d e n d1 7 . P u t n am T a x S m a ~ F D S E q u i t y F D C ! B A D i v i d e n d18 . S a f e w a y I n e N e w A D i v i d e n d1 9 . S C A H A C a r p B D i v i d e n d

0 - P ) c o ~ 3( Q - W )

J T

K T

J T

L T

PI WJ T

J T

J T

J T

J T

K T

K T

J T

M T

J T

K T

T r a n 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( ~ ) ( 2 ) ( 3 ) ( 4 ) ( 5 )T y p e ( e . g . , D a t e V a l u e G a i n Ident i ty of

b u d , se l l , m m / d d / y y C o d e 2 C o d e I b u y e f f s e l l e r~d emp t io n ) ( J - P ) ( A - H ) (if ~ w ~~ion)S o l d 11/30/10 J A(par t)

S o l d 1 1 1 3 0 / 1 0 J A

I. ~ Gain O~ks: A ~$1,000(Sce ~ B! a~[ 04) F-$ 50,001 - $ 100,000 G -$100,00l - $ [ ,000,000 It I =$1,000.001 - $ $ . 0 0 0 . 0 0 0 1 4 2 -Mct-~ lean $5,000,000

2. Vsh~e ~ j(See ~ C! sad D3) N -$250.001 - ~50Q.O00 O .~ ~,00.001 - $ I.~.0~ PI -$1.0~0.00! - $5.000.000 I~ -$ ~ .0~0.~01 - $ 25 .000D0013 -$25.000D01 - $~.000.000 P4 -More ~a $50.0~o000

3. V~u~ M e ~ d O x k ~ Q = A p l x a h ~(5Cola, an C2) U

E - $ 1 5 . 0 o ! - $ ~ 0 , 0 o o


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N a m e o f P e r s o n R e p o r t in gNorton, David C.

D a t e o f R e p o r l05/13/2011

N O N E (No reportable income, assets, or transactions.)A. B. C. D.

lk s c r lp t io n o f A .~ e ts In c o m e d u r in g Gross v a l u e a t e n d T r a r m 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 nc l ud i ng Ix, Jst a s .~ ts ) re p ~ r lin g p e r io d o f r e p o r t i n g p e r i o d(l) (2) ( I) (2) t ( I) (2) (3) (4) ( 5 )

Plac~ "(X)" sf~r each asset A m o u n t Type (e.g., V a lu e V a lu e I Type (e.g., D a l e V a l u e G a i n Idcmity ofe x e m p t f r o m p r i o ~ d i s c l o s u r e Code I d i v . . r e n t , C o d e 2 M e t h o di

b u y , s e l l , m m / d d / y y C o d e 2 Cede I b u y e r / s e l l ~ r{ A - H ) o r i n t . ) (J-P) C o d e 3 r e d e m p t i o n ) (J-P) ( A - H ) (if p~,ate

( Q - W ) [ t r a n s a c l i o n )

120. S C B T1 2 1 . S m u c k e r C o N e w122. South Carolina State Deferred Comp Plan

1 2 3 . S o u t h C a r o l in a S t a t e R e t i r e m e n t P l a n124. South Financial Group (IRA)

12 5 , S un t r u s t B a n k s I n c126. Synovus Financial Corpi 27. Teradata Corp128 . T e x a s I n s t r u m e n t s lne1 2 9 . T i m e W a r n e r I re130 . To ta l sys tem Serv ices13 ! . T r a v e l e r s Co mp a n i e s I r e132 . T r e e Co r n1 3 3 . UT S F P T D o w T a r g e t 1 0 F e b 0 9 ( IR A )1 3 4 . V e r i z 0 a135. Veriz0n

136. Washington Mutual lnc

B DividendA DividendA DividendB DividendC DividendA DividendA Dividend

NoneA DividendA DividendA DividendA Dividend

NoneA DividendA DividendA Dividend

None

K

LM

J

L

J

J

J

J

K

J

TTTTT

TTTT

T

TT

T

Sold 1/30110

Sold I !/30/10

Sold 11130/10

A

A

I . l~ c o m G a i ~ ~ _ _ , o d ~ : A ~ , S 1 , 0 O O o 1 " l e e s B "d I,O O l - I2 ,5 00 C - I2 ,.5 01 $5 ,000 D -$5 ,0O I - $1 5 ,000( S ~ C o l u m ~ f l l a m d D 4 ) F ."$50.001 - $ 100,000 O -$ 1 00 ,0 Q I - $ 1 ,0 00 ,0 00 H I - S 1 .0 00 ,0 01 - $~ .0 00 ,0 00 H2 . -Mot- than $5,000.(XX)2 . v a l ue C odes J -$1 5 ,0QO o r I ~ K ,~ I J .001 - $50.000 L -$50,0OI - $100,0OO M -$10 0 , 0 0 1 - $2 50 , 0 0 0

(SColumns Cl ~d D3) N - $ , Y , 0 , 0 0 1 - $ . ~ 0 0 , 0 0 0 O - $ 5 0 0 , 0 0 1 - $ I , t X I 0 , 0 0 0 PI3 . V a h a M e t ho d C o d e s Q -Apixaisa l R . . ( 7 0 t ( R e n t E s t a t e O n l y ) S -Axt~:~ment T

(S ~:c C oh m ~ C ~ ) U -Book Ynlue V . q 3 t b ~ w -Estinxtt~d

E = $ 1 ~ , 0 0 1


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F IN A N C I A L D I S C L O S U R E R E P O R TPage 12 o f 14

N a m e o f P e r s o n R e p o r t in gNorton, David C.

Date o f Repor t0 5 / I 3 / 2 0 1 1

V I I . I N V E S T M E N T S a n d T R U S T S - i~ c o ., e , , ,a luoo .a ,~oc , lo .sV - - ] N O b l E (No repor tab l e incom e , as se t s , or t ransac t ions . )

A. B. C.D e s c r i p t io n o f A s s e ~ I n c o m e d u r i n g G r o s s v a l u e a t en d(including t ru s t a s s e ts ) r e p o r t in g p e r io d o f a : p o ~ i n g I ~ f i o d

(I) (2) (I ) ( 2 )Place "(X)" after each asset A m o u n t Type (e.g., Value V a l u e

e x e m l ~ t f r o m p r i o r d i s c io s ~ ~ C o d e I d i e . , r c n L Code 2 Method( A - H ) o r int.) ( l - P ) C o d e 3( Q - W )

B Dividend K TB Dividend L TA Dividend J TA Dividend .I TA Dividend J T

None J T

137. W ashington M utual Investors Fund CI A138. Wash ington Mu tual Investors Fund CI A139. Washington M utual Investors140. W el ls Fargo & Co New14L W el |sFargo & Co New142. Zimm er Holdings Inc

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) (2) (3) (4) (5 )T y p e ( e . g ., D a t e V a l u e G a i n I d e n t i t y o f

bt,"/, sell,m / d d / i y C o d e 2 C o d e I b u y e r l s e l l e rr e d e m p t i o n ) ( I - P ) ( A - H ) ( i f p r i v a t e

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

E = $15 . 0 0 1 - $ 5 0 , 0 0 0


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FINANCIAL DISCLOSURE REPORTPage 13 of 14

Name of Person Reporting Date of ReportNorton, D a v i d C . 05/I 3 /2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.E x pla na t ions fo r Pa r t V I I . I nv e s tme n t s a nd Tru s t s

I. The renta l proper ty l is ted in Par t VI I , l ine 106 is loca ted in Translyvania County, Nor th Carol ina , USA.2. L in e 1 3 0 , T o t a l S y s t e m s S e r v i c es I n c w a s e r r o n e o u s ly o m i t t e d f r o m 2 0 0 9 r e p o r t .3. L i n e 48 , E a to n V a n c e Ta x F r e e F un d CL B me r g e d w i t h E a t o n V a n c e T a x F r e e F un d CL A p e r b r o k e r , un a b l e to d e t e r mi n e d a t e o f me r g e r .4. L in e 9 7 o f 2 0 0 9 r e p o r t c o n v e r t e d t o l i n c o ln N a t io n a l L i fe A n n u i ty p e r b r o k e r , u n a b l e t o d e t e r m in e d a t e o f c o n v e r s io n .5. Art ic le 5 Tru st consis t of l ines 1 5 , 23 , 25 , 34 , 38 , 46, 49 , 52 , 56, 63 , 66, 69, 79 , 102, 107 an d 140 .6. Ar t ic le 6 Trust consis t of l ines 6, 7 , 1 I , 14 , 16, 17 , 18 , 2 I , 27 , 28 , 32 , 37 , 39 , 40 , 45 , 47 , 55 , 65 , 67 , 72 , 74 , 75 , 76, 83 , 85 , 86, 87 , 93 , 94 , 96, 97 , I00 , 101 , 106,I 10 , 111 ,114 , 116 , ! 18 ,

128, 129, 131 ,135 , 136, and 138 .7 . T r u s t # lc o n si st o f : R o y a l D u t c h S h e ll v a lu e L

A lle gh en y E ne rg y v alu e Kl d e a re v a lu e J

E l i L i ly v a l ue KP e pc o H o ld in g s l nc v al ue JLain Farm va lue cos t R. An n u a l Re n t a l I n c o me E


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FINANCIAL DISCLOSURE REPO RTPage 14 of 14

N a m e o f P e r so n R e p o r ti n gNorton, David C.

D at e o f R epor t05/I 3/2011

IX. CERTIFICATION .i c e r t i fy 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 in 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 , i f a n y ) i s

a c c u r a t e ~ t r u e , a n d c o m p l e t e to 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 an y I n f o r m a t i o n n o t r e p o r te 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 ta t u t o r yprovisions p e r m i t t in g n o n - d i s c l o s u r e .i f u r th e r c e r t i f y th 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 dc 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 L s e q . , 5 U . S . C .

NOTE: A N 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 FU L LYA 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 )CIVIL

Com m ittee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Colum bu s Circle, N.E.W ashington, D.C. 20544

David C Norton Financial Disclosure Report for 2010

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