DISCLOSE EPORT Requied by Rcv in Goenment At of 178 124 (5 ...€¦ · SOURCE D E GROSS NCOME ....

[ _

__________ _ Date ____ _

PQSIDON NAME Qf QIWANIZADQN/ENTITY

.Trust

-Tnist

PARTIES AND TERMS

c::J (/)

ia-;

';1l ':a: 11\ ?= o ..

rn

..0

."• •; AO-JO FINANCIAL DISCLOSURE REPORT Report Required by the Ethics in Government Act of 1978 Rcv•. 112004

I. Person Reporting (Last name, First name, Middle initial)

THOMPSON, RALPH G

4. Title (Article Ill Judges indicate active or senior status; magistratejudges indicate full· or part-lime)

US DISTRICT JUOOE(SR. STATIJS)

7. Chambers or Office Address

U. S. COURTHOUSE

200 N. W. 4TH STREET

OKLAHOMACITY,OK 73 02

Calendar Year 2003

2. Court or Organization

U.S.O.C. W.O. OKLAHOMA

S. RcportTypc (chccJc appropriate type)

< .

) Nominalion, Date

0 Final

(5 U.S.C. app. §§ 101-11 I)

3. Date ofReport

7/1212004

6. Reporting Period

1/112003

to 1213112003

8. On the basis of the information c:ontained in this Report and any modifications pertaining lbcrcto, it is. in my opiniQn, in compliance with applicable la and regulations.

Reviewing Officer

IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts. chcc1cing the NONE box for each part whci'c you have no reportable information. Sign on last

L POSITIONS. (Reporting individual only; sec pp. 9-t3 otfiling instructions)

0 NONE - (Noreportablcpositions.) ·

I. Co-Trusice

2. Trustee Jnevocab1cTrust

3. Trustee

4. Co-Trustee ITrust ("')

c.n-c'"P' ';:::>rnS?

'--

-..D -.c:.

rn-

Nb NE -CNo rcpor1B1>1c agrccmcnts.)

l. .·

'>:> -

- a-n .. C"'>

IL AGREEMENTS. (Reporting individual on1y; secpp. 14-16 offiling instnsclionsl rn 0 -\ ,,

SOURCE AND TYPE GROSS INCOME

SOURCE AND TYPE

SOURCE PESCR!PTION

FINANCIAL DISCLOSURE REPORT Name of Person Reporting

THOMPSON, RALPH G

Date of Report

7/12/2004

III. NON-INVESTMENT INCOME. (Reporting individual and spouse; sec Pll· 17-24 of tiling instructions)

A. Filer's Non-Investment lncom

NONE - (No reportable non•investmcnt income.)

I.

1

{yours. not spouse's)

B. Spo ·s Non-Investment Income -(lfyou.wcre married during any portion of the reporting year, please complete this section. (dollar amount not required except for honoraria)

NONE · (No reportable non-investment income.)

I.

IV. REIMBURSEMENTS - transportation, lodging. food, entertainment

(Includes those to spouse and dependent children. See pp. 25-27 of instructions.)

D NONE - (Nosuch reportable reimbursements.)

I. Harvard University, Cambridge, MA Reimbursement for travel and expenses for period January 6-12, 2003 for annual teaching assignment

2. LR Phillips Frequent flyer nules - To/From Hawaii - 9-29-03/10-8-03

SOURCE DESCR!PTION

CREDITOR DESCRIPTION VAWECOPE

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report ·

THOMPSON, RALPH G m2noo4

V. GIFTS. (Includes those lo spouse and dependent children. See pp. 28·3 I of instructions.)

NONE - (No such reportable gifts.)

I.

VI. LIABILITIES. (Includes those ofspouse and dependent children. Sec pp. 32-34 ofinstructions.)

NONE - (Norcportablcliabilities.)

I.

c.

w

Raleemcd

(2)

U

(3)

Code2

(4)

"'

FINANCIAL DISCLOSURE REPORT _Name of Person Reporting Date of Report

Page 1of6 TIIOMPSON, RALPH G 7/1212004

VIL INVESTMENTS and tRUSTS - income, value, tnu1Scations (iuclwdcs those of the spouse ond dependent children. Sec pp. 34-57 of6ling inslruclioos.)

D. Tl'8llSllClions during n:p<lf1ing period

A.

Description of Assets (including trust users)

Place "(XI" after each asset cxanpt ftom prior disclosure

i.J NONE (No repottable income, assets, or transactions)

I. Banc One

2. FECU {Allegiance Credit Union - Name Change)

Bank of Oklahoma 3.

4. Misc. oil interests in Logan, Uncoln & Mcintosh C'.oulities,OK

' Atlas Public #8 Ltd. s.

6.

7. Merrill Lynch Money Accounts (Consolidated)

8. Salomon Smith Barney Money Mkt Fd

B. Income during

reporting period

(\) (2)

Amount Type (e.g. Code I div. n:nt. or

(A-H} int.)

B Interest

B Interest

A Interest

A Interest

A Interest

B Interest .

B Interest

Gross value at end of rqxirring period

(I) (2)

Value Value Code2 Method (J-P) Codel

(Q-W)

K T

M T

J T

J

(I)

Type (e.g. buy, sell. mc:rgcr, redemption)

Sell

Redeemed

Dale: Month-Day

. llf.3

9127

817

not exempt ftam disclosure

Value

(J-P)

J

Pl

K

Gain Code 1 (A-

(5) Identity of buyer/seller (ifprivalc transactiou)

9. J.P. Morgan Chase B lnten:st K T

10. Van Kampen Govt. (Previously Van Kampen Fund) A Interest Sell 11/4 J

11. Davis Ser.Convcrtible(Previously Davis NY Venture Fund)

A Interest Sell 11/4 L

12. American Fund D Interest 0 T Buy 11/S 0

13. American Fund E Interest Pl T Buy 817 Pl

14. Edward Jones Money Market Fund A Interest M T Buy 11/S M

IS. Edward Jones Money Market Fund A Interest K T · - Buy 8n ·K

16.

17.

18.

Niagara Mohawk Holdings, Inc. (Now National Grid Group)

Coca Cola

A

A

Dividend

Dividend

Sen

Sell

sn

1/24

J

K

1 h1C011>..:/Gam Codes·

(See Columns Bl and D4J

A

F

= Sl,000 or less

= SS0.001-SlOO,OOO

B

G

Sl,001-S2.500

= Sl00.001-$1,000,000

('

Hl

= S.2,501-SS,OOO

= $1,000,001-$5,000,000

D = S5,00l-Sl5.000

H2 = More than SS,000,000

E = Sl5,00!-S50,000

. V alu:o Code.;· = S 15,000 or less K = S 15.001-SS0.000 L = $S0Jl01-SI00,000 M = $100,001-S.250,000

(5cc Columns CI and D:l J 1' S2SO,O S51.10.000 0 = S.500.001-Sl.OOO,OOO Pl :. $1.CIOU,OOl-$5.000.00C P2 = $5,00D,001-S.25,000,000

P> = S25.000.00l-SS0.000.000 P4 = SMon: than S5l1,000.000

.< \'ah;; i::liioJ Code., Q Anpraisa1 ft C:.1s1 f Rcal E.state Only) > "' Assessment T = Cash/Market

\' = 01hcr \\" = Est imatcc

(2) ll" trom

-

c D E

(2) (2)

31.

33.

FINANCIAL DISCLOSURE REPORT Name or Person Reporting Date of Report

Page 2of6 IBOMPSON, RALPH G 7/1212004

VII. INVESTMENTS and TRUSTS - income, value, lrllnscations (includes those ofthe spouse mid dependent children. Sec pp. 34-S7 orliling inslruclions.)

A. B. c. D. Income during Gross value at end of Transactions during reporting period

Description of Assets . reporting period reporting period(including trust assets)

(I) (I) (l l not exempt disclosure

(3) (4) (S) Place "(X)" after each asset ClCClllPI Type (e.g. Amount Type (e.g. Value Value Date: Value Gain Identity of from prior disclosure Code I div. leDl. or Codc2 Method buy, sell. Monlb- Code2 Code buyer/seller

(A-H) int.) (J-P) Codc3 merger, Day (J-P) I (A· (if private (Q-W) mlcmptioa) "' transactioo)

19. Coca Cola A Dividend Sell 1124 K

20. DuPont B Dividend L T

21. DuPont A Dividend J T

22. General Electric A Dividend L T

23. General Electric A Dividend J T

24. Exxon Mobil Corp. A Dividend Sell 817 J

25. Hewlett Paclcard A Dividend Sell 817 J

26. Pfizer, Inc. A Dividend. L T

27. Pfizer, Inc. A Dividend J T

28. Unocal Corp. A Dividend Sell 817 J

29. Wal-Mart A Dividend M T

30. Wal-Mart A Dividend Sell sn J

BP Amoco A Dividend J T

32. Bellsouth Corp. A Dividend Sell 817 J

BankAmerica Corp. A Dividend K T

34. Phillips Petroleum (Now Con0cophillips) A Dividend Sell 817 J

35.

36.

Banc One Okla. Coqi.

SBC Comrrtnunications, Inc.

A .-

A

Dividend

Dividend

J

K

T

T

I

2

h1 <M11ciGain Codes

(Sec Colmnns Bl and D4)

Value Codes

(Sec l uimnn' Cl and D3i

\·!liu \:i tho:.l Code::.

A '· )i ,000 or k.'S!'

r: S50.001-SI00,000

= S 15,000 or less

N c S25(1.000-S500.000

p:; "$25,0(10.001-$50,000.000

() - t\npraiSlll

B

G

K

{)

r:

Sl,OOl-S2,SOO

= SI00,001-S 1,000,000

Sl5,001-S50.00-0

c SS00,001-Si.000,000

' C-Os1 !Real Esu1c On!) :

Ill

L

Pl

p.:

= S2. 0l-S5,000

Sl,000,001-SS.OOO.OOO

= S50.00l-SI00,0()(1

= Sl.000,001-S.5.000.000

= SMon: than S U.000,000

- . .\ssessmcnt

= SS.001-SIS,OOO

112 "More than $5,000,000

M = SI00.001-$250,000

P2 $5.000,00i-$25,000,000

T Cash/MarO.:e1

= SIS,001-$50,000

B

c.

1f l1llill

(3) (4) (S)

.

39.

42.

45.

49.

53.

(2)

FINANCIAL DISCLOSURE REPORT Date ofRcport Name of Person Repcirting

. Page 3 of6 THOMPSON, RALPH G 7/ l2/2004

- income, value_ ll'llllSCBtions (includes those ohhc spouse and dependent childn:n. Sec pp. 34-57 of filing instructions.) VIL INVESTMENTS and TRUSTS

A. B. D. lncotne during Gross value at encl of Transactions during rcp1111ing period

Description of A.uets rqiorting period reporting period (i11cluding trust llSSCls)

(I) (2) (I) (2) li) not exempt d1SClosure

Place "(X)" after each asset c ctnpl Type (e.g. Date:· Amount T)'pe (e.g. Value Value Value Gain Identity of from prior disclosure buy, sell, Monti•-Codcl div. ICllt. or Code2 Method Codc2 Code buyedsellcr

(A-H) int.) (J-P) Codel merger, Day (J-P) 1 (A- (ifprivalcredemption)(Q-W) Wt lnlllsaction)

37. Comcast Corp. A Dividend Sell 8n K ·,

38. Phillip Morris Cos., Inc. A Dividend Sell 115 K

40.

Agilent Technologies, Inc. A Dividend Sell 8n J

Dell, Inc. A Dividend K T Buy 6116 K

41. DTE.Energy Co. B Dividend K T Buy 3/5 K

Fannie Mac USA A Dividend J T Buy 6116 J

43. FPL Group, Inc. B Dividend L T Buy 3121 L

44. Home Depot, Inc. A Dividend. K T Buy sn K

Johnson & Johnson A Dividend L T Buy sn L

46. Pepco Hldgs, Inc. A Dividend K T Buy 3121 K

47. Public Svc. Enterprise Group A Dividend K T Buy 5127 K

48. Puget Energy, Inc. A Dividend K T Buy 3121 K

United Health Group, Inc. A Dividend J T Buy 6116 J

so. United Technologies Corp. A Dividend K T Buy 6116 K

51.

52. OK Mun. Pwr. Auth. c Interest L T

54.

Ok. Mun. Pwr. Auth. (Omitted 2002) c Interest L T

Alvord Ca. Uni. Sch. Dist. A Interest M T

! I. lucrnneltiain Codes. A • S 1,000 or less = Sl,001-S2,SOO (" = $2.501-$5,000 D = S5.00l-Sl5.00tl E = SIS,OO\-SS0,000

(See Columns Bl and IJ.IJ F SS0.001-SI00,000 G = s100.001.s1.ooo.ooo HI = SLOOO,OO!-S5,000.000 H2 =More than S5,000,0CIO

. Value Codes: = S15,000 or less I = s 15.001-550.000 L = SS0.001-S I 00,000 M = s100.001.s2so.ooo

(Sec l. oh1m11s Cl and D'.\J N $25(1,000- '500.000 () $500,00 l-$1,000,000 Pl = $ ! .IJ00,001-SS.000.000 P2 = S5.000,001-S25,00U,OOO

p; 25,000.001-S:iC,OOO.OOO P4 = SMorc tlian -5(1,000,000

Q -- Appra1sa! I( Cos: (Real Estntr Onlyl ..... .t--.ssessme11:

c' 0 Hool. Vaiu,·

..

lf disclosun:

.

Redeemed

(4) (S)

Codc2

'

55.

72.

(I)

(e.g.

(2)

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report Page4 of6 THOMPSON, RALPH G 7/1212004

VII. INVESTMENTS and TRUSTS - income, valuc.1ra11sca1ions (mcludes those of !he spouse and dependent children. Sec pp. 34-57 of filing ins1n1ctions.)

A. B. c:. D. Income during Gross value al end or Tl'llllSlldions during reportin111ieriod

Description of Assets reporting period reporting period (includingtms1 assets)

not exempt from (2) (I) (I) (2) (3)

Place "(Xr after each assct cxcmp1 Value Value T:YPC (e.g. Date: Codc2 Method buy, sell. Month-

Value Gain ldcntil)• of Code buyer/seller

Amount T)'JICfrom prior" discloiure Code I div. n:rit. or (A-H) int.) (J-P) Codc3 merger, Day {J-P) I (A- (if pri\'lllC

(Q-W) redemption) '"" transaction)


56. West Seneca Ny. Cent. Sch. Dist A Interest M T

57. West Seneca Ny. Cent Sch. Dist A lntcrcst M T

58. "V_a. St Hsg. Dev. Auth. A Interest M T

59. Va. t. Hsg. Dev. Auth. A Interest Sell 10/8 M

60. Park City Ut. Sch. Dist A Interest Sell l 1/18 M

61. Park City Ut. Sch. Dist. A Interest Sell 9/15 M

62. De Soto Cnty. Ms. Sch. Dist. A Interest . Sell 12/02 M

63. Puerto Rico Mun. Fin. Agy. A lnaercst Sell 12116 M

64. OKS ScrA.. A lntcn:st 1115 K

65. OK Trnsn. OK Tpk. ('15) A Interest K T

66. OK Trnsn. OK Tpk. ('17) A Interest K T

67. Pucrlo Rico Pub. Big. A TRV A lntcn:st L T

68. Grand River Dam Auth. OK A Interest K T

69. OK Cnty. lndpt. Sch. Dist. A lntcrest Sell 10/22 K

70. Stillwater Ok Utils. Auth. A lnterest K T

71. Puerto Rico Mun. Fin Agy. A Interest K T

Puerto Rico Elec. Pwr. Auth. A lntcn:st K T

I Income/Gain Codes: A S 1,000 or les.< B ""' S 1,00 I ·S2.500 C = S2,S01-S5.000 D =S5.00l-Sl5,000 E r Sl5,001-S50.000

(Sec Columns Bl and D4) F = SS0.001-SIOO,OOO G SIOO,OOl-Sl,000,000 Ml = Sl.000,001-SS.OOO.OOO 112 =More UWl $5,000,000

: ValU'c Codes: = S15,000 or less K = S l 5 .00 I ·SS0.000 L = SS0,001-SIOO,OOO M = Sl 00,00 l-$250,000

(Sec lultmms Cl and WJ N - S250,000-S500.000 () " $500,001- 1.000,000 Pl $1,000.00l-SS.000.00(• P2 = S5.000,001-S25,000,000

p; S2S ,000.001-S50.000.00C1 P4 =$More lhan s:;c1,000.000

Value Melhod Code!. Q · Appraisal R = Cosl (fl cal E!:talc Only) "' Assessmen: T = Cash IJ\-1arkei

Hon!. Valu · \!: ;... Estimat

A. c

(2) ll D'Ull1

(3) (4)

..

OF£ fRUST:

--------------------------------------------------------

'

(2)

(Q-W)

74.

76. 3/5

89.

90.

E Sl5,00!-S50.000 i

FINANCIAL DISCLOSURE REPORT Name ofPerson Reporting Date of Report

Page 5of6 IBOMPSO)'l, RAI.PH G 7/1212004

VII. INVESTMENTS and TRUSTS - income:, value, tnmscalions (includes those of the spouse and dcpeodcnt cluldrcn. See pp. 34-57 of filing instructions.)

B. D. Income during Gross value at end of Transactions during rcponing period Description of Assets reponing period reporting period (including trust assets)

not exempt disclosure

(5) (I) (I I (I)

(2)!'lace "(X)" after each assel excinpl Amount Type (e.g. Value Value Type (e.g. &om prior disclo.•ure div. rent. or

Date: Value Gain Identity of Codc2 Method buy, sell. Month-Code l Codc2 Code buyer/seller

Codc3 Day(A·H) int.) (J-P) merger, (J-P) I (A- (if private redeqicion) "'' ttansacrion)

73. OK St Tpk. Auth. ('12) A Interest Sell 10/22 K

Klein Tx. lndpt. Sch. Disl A Interest Sell 9124 K

75. Botetourt County Va. FRDG A Interest K T Buy 315 K

New York St Environmcn1al FACS A Interest K T Buy K

77. Okla!Joma Water Res. Brei. A Interest K T Buy . 315 K

78. GMAC Smartnotcs A Interest K T Buy 2120 K

79. Monroe La. Sales Tx. Rev. A Interest L T Buy 3/10 L

80.

81.

82.

83.

ASSETS O TR.UST: NOTE: Trust terminated 10-18-03.

All previously listed assets distnl>utcd to beneficiaries.

84. ASSETS OF -TRUST: (Held as Trustee -

85. No personal ownership:)

86. New York Life Ins.Co.Policy A Interest K T

87. (END OF TRUST ASSETS):

88.

ASSETS NOTE: Trust terminated S-7--03

All previously listed assets distriuted to beneficiary.

I. lncomciUain Codes: A =SI ,000 or less B = s1.001-s2.soo (' = S::?,50 l-SS,000 D = S5.00l-Sl5.000

(Sec Columm Bl and 04) F = SS0.001-SIOO,OOO G =SIOO.OOl-Sl.000,000 HI = $1,000,00l-S5,000.000 H2 = More than $5,000,000

-Value Codes: = S 15,000 or less I = Sl5.00l-SSO..OOO L = $50,001-S 100,00u M = SIOO.OOl-S2SO.OOO

iScc L"olunms Cl and 03) N = S'.!5ll.000-$500.000 O $500.00\-St,000.000 Pl ) l ,000,00 l-SS.000.000 P2 = !i5.00(l,001-S25,000,0ll0

1'3 = S'.!5.000.00l-S50,000.000 1'·1 = SMorc than $5(1,000,000

- Vah11.: M:tha<l Codes Q Appraisal R Cos\ (Real Estate Onl;·) .c: - Assessmen: T = Cash!Marke!

U Hool; Value v: Lisi nnated

OF.TRUST:

('

If trom <lisclosurc

(2) (S)

i.t\

.

D E

FINANCIAL DISCLOSURE REPORT Name of Person Repcirting Date of Report

. Page 6of6 THOMPSON, RALPH G 7/1212004

- income, value. tnanscations (includes those ofthe spouse and dependent cluldren. Sec pp. 34-57 of filing instructions.)VII. INVESTMENTS and TRUSTS

A.

Description of Assets (mcluding trust assets)

l'laa: "(X)" after each asset exempt from prior disclosme

B. Income during

reporting period

(I) (2)

Amount Type (e.g. Code I div. rent. or (A-H) int.)

c. Gross value at end of reporting period

(I) (2)

Value Value Codc2 Method (J-P) Code 3

(Q-W)

o. TnmsactiOlls during rcponing period

(I) not exempt

(3) (4) Type (e.g. Dace: Value Gain buy, sell, Month- Code2 Code merges:, Oily (J-P) l (A·l'alcmplioo)

Identity of buyer/seller (ifp0vatc transaction)

91.

92. ASSETS (Held as Co-Trustee- No

93.

94.

95.

96.

personal ownership)

Dulaney's, Inc.

Life-ln,s. Policy- New York Life Ins. Co.

(END OF.TRUST ASSETS)

A Dividend

A htterest

Pl T

N T

I h1c-0mc;Uam Codes A = S1,000 or less B S 1,001-S:!,500 $!,501-S5,000 = SS,001-SlS.OOO S15,001-S50,000

(Sec lohunns I.II and [>4) F ;$)0,001-SlOl•,000 G = SlCIO,OOl-Sl,000,000 Ill $1.000,001-S5,000.000 H2 =More than SS,000,000

. Value Codes =St 5,000 01 less K = SIS.001-SSO.OOO L = s;o.oo 1-s100.00(1 M = SI00,001-S2S0,000

(Sec l c>lum11s C: a11d D'.\1 N = S!5ll,OOG-$500.000 () = $500,001-Sl,OOO,OllO Pl - $1.000,00l-SS.000.000 l'2 c SS,000,001-S25 ,000,000

1''.' = S25,000.00 !-$50,000.000 !'4 SMorc than 550,000,000

Q = Appraisal T = Cash/Market

L; = Bo:i. Vaiuc·

f.'INANCIAL DISCLOSURE REPORT

Vill.

NameorPersonReporting Date of Report

TIIOMPSON, RALPH G 7/1212004

ADDITIONAL INFORMATION OR EXPLANATIONS <1ndica1epanorReport.>

FINANCIAL DISCLOSURE REPORT Name ofPerson Reporting

TIIOMPSON, RALPH G

IX. CERTIFICATION.

Date of Report

7/1212004

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accwate, true, and complete to the best of my knowledge and belief: and that any infonnation not reported was withheld because it met applicable statutory provisions permitting non-disclosure.

I further C:ertify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of S U.S.C. § 501 ct seq.., S U.S.C. § 7353, and Judicial Conference regulations.

Signa

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE nns REPORT MAY BE SUBJECT TO CML AND CRIMJNAL SANCTIONS (5 U.S.C. app. § 104)

:

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosmc

Administrative Office of the United States Courts

Suite 2-301

One Columbus Circle, N.E.

Washington, D.C. 20544

:

___________ _ Date. ____ _

POSDJON NAME QE QRGANIZAIJQNIENTITY

.Trust

-·Irrevocable

-lrrevocabalc

PARTIES AND TERMS

Cl e.

=

;a =

�=

Reviewing Officer

3.

NONE · (No reportable agreements.)

A0-10

Rev. 112004

Report Required by the EthicsFINANCIAL DISCLOSURE REPORT in Government Act of 1978

Calendar Year 2003

I. Person Reporting (Last name, First name, Middle initial) 2. Court or Organiw.tion

THOMPSON, RALPH G U.S.D.C. W.D. OKLAHOMA

4. Title (Article Ill Judges indicate active or sen ior status; magistrate judges indicate. foll- or part-time)

US DISTRICT JUDGE (SR. STATIJS)

5. ReportType (check appropriate type)

l - .l Nomination. Date

t J Initial !.) Final

(5 U.S.C. app. §§ 101·11 I)

3. Date ofReport

4129/2004

6. Reporting Period

11112003

to 12/3112003

7. Chambers or Office Address 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance

U. S. COURTHOUSE with applicable laws and regulations.

200 N. W. 4111 STREET

OKLAHOMACITY,OK 73102

IMPORTANT NOTES: The instructions accompanying this fonn must bC followed. Complete all partx, checking the NONE box for each part

where you have no reportable infonnalion. Sign on last page.

I. POSITIONS. (Reporting individual only; see pp. 9-13 of tiling instructions)

0 NONE · (No reportable positions.)

I. Co-Trustee

2. Trustee Trust

4.

Trustee Trust

.......Co-Trustee .Trust

C".> '"TJ o-(J}:.7?.: c=> _, __ ....., __

l'1 (") C> ,_,_·•

=

::;- m -< " I

Ul m-<l>

IL AGREEMENTS. (Reporting individual only; see pp. 14-16 oftiling insiructions> ..., m r.> 0 f'! N

U1

l.

SOURCE AND I¥PE ORQSS INCQME

SquRCE AND TYPE

DESCRIPTION SOURCE

FINA.NClAL DISCLOSURE REPORT Name of Person Reporting

THOMPSON,· RALPH G

Date of Report

4/2912004

ill. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 11.24 of filing instructions>

A. Filer's Non-Investment lncom

NONE - (No reportable non-investment income.)

I.

(yaws, not spo11se's)

B. Spouse's Non-Investment Income -(lfyou were married during any portion of the reporting )'QT, please complete this section. (dollar arnowit not required c:xccpt for honoraria)

NONE - (No reportable non-investment income.)

I.

IV. REIMBURSEMENTS - transportation, lodging, food. entertainment

(Includes those to spouse and dependent children. Sec pp. 25-27 of instructions.)

D NONE - (No sud! reportable reimbursements.)

1. Harvard University, Cambridge, MA Reimbursement for travel ind expenses forpcriodJanuary6-12, 2003 for annual teaching assignment

2. LR Phillips Frequent flyer miles - To/From Hawaii - 9-29-03110-8-03

SOURCE DESCRIPTION

CREQITOR QESCRlPTION VAl.UECODE

4/2912004

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report

THOMPSON, RALPH G

V. GIFTS. (Includes lhose to spouse and dependent children. See pp. 28-31 of instructions. l

f,;?] NONE (Nosuchrcportablegifts.)-

I.

VI. LIABILITIES. (lncludc. those of spouse and dependent child . See pp. 32-34 of instruction s.)

NONE - (No reportable liabilities.)

I.

If trom disclosin (2) (3)

0

K

(4) (S)

Code

M\

-

(2)

(No reportable income. assets, or bansactions)

13.

not exempt


Page 1of6 THOMPSON, RALPH G 412912004

.. VII. INVESTMENTS and TRUSTS -income. value. transca1ions li11c1u11cs •hose or the spou. and dependent cltildren. Sec w. 34-s1 or ming i11s1ruc1ions.>

A. B. c. D. lnamic during Gros.< value at end of Transactions during reporting period

Description of As. reporting period reporting penod (including tr1a1 asscts)

(1) ll) (2) {ll

Place "(Xl" alter each asset elCC111pl Type (e.g.Amount Type {e.g. Value Value Date: Value Gain ldcutityoflimn prior disclosure Code! div. rail or Code2 Method buy, sell, Month- Code2 buycrfscller(A-H) int.) {J.P) CodeJ merger, Day (J-P) I lA- (if privabl

redemption){Q-W) transact ioo)

DNONE

Banc ne Bl.

2. FECU (Allegiance Credit Union - Name Change) B

Bank of Oklahoma 3. A

4. Misc. oil interests in Logan, Lincoln &Mcintosh A Counties.OK

Atlas Public #8 Ltd.5. A

6.

Inrcrest

Inrcrest

lnrcrest

Interest

lnlereSt

K T

M T

J T

J w

Sell 1113 J

7. Menill Lynch Money Accounts (Consolidated) B Interest Redeemed 9/27 Pl

8. Salomon Smith Barney Money Mitt fd B lntr:rest Redeemed an K

9. J.P. Morgan Chase B Interest K T

10. Van Kampen Govt. (Previously Van Kampen Fund) A Interest Sell 11/4 J

II. Davis Ser.Convertible(Prcviously Davis NY A Interest Sell 11/4 L Venture Fund)

12. American Fund D Interest T Buy 11/5 0

American Fund E Interest Pl T Buy sn Pl

14. Edward Jones Money Market Fund A Interest M T Buy ll/5 M

15. Edward Jones Money Market Fund A Interest K T Buy an

16.

17.

18.

Niagara Mohawk Holdings, Inc. (Now National Grid Group)

Coca Cola

A

A

Dividend

Dividend

Sell

Sell

an

l/24

J

K

I . lucome/Gain Colics

(Sec Col<Unns Bl and !)4) - Value Codes:

(Sec Cohmtns Cl and D'.\)

J. Value Method Codes

(Se-: Column Cl)

A =S1,000orlcss F = $50.001-$100,000

= S 15,000 or less N = $250,000-SSOO.OOO

P3 =S25,000.00l-S50,000.000

Q = Appraisal U =Book Value

B a K 0

R V

= $1,00l-S2,500

= s100.001-s1,ooo.ooo

=Sl5,00l·SS0.000

= SSOO.OOl-Si,000,000

=Cos! (Real Estate Only) =Other

C

HI L Pl N S W

'" S1,SO 1-$5,000

= Sl.OOO,OOJ.$5,000,000

= $50.001-SIOO,OOO =$I ,000,00 I -$5,00-0.000 = SMore than S50,000,000

Assessment E<ti111a1cd

D =S5.00l-SIS,000

H2 =More lllllll $5,000,000

M =S!00,001-$2SO.OOO

P2 = S5,000,001-S25,000,0DO

T = Cash/Market

E = SIS,OO\-SS0,000

U trom disclosure

(4)

T

'

34.

(S)

FINANCIAL DISCLOSURE REPORT Name ofPerson Reporting Date ofRcpon Page 2of6 THOMPSON, RALPH G 4129/2004

VIL INVESTMENTS and TRUSTS - income. value. lransc:ations (includes those ofthe spouse arid dependent childn:n. Sec pp. 4-S7 or filing i11structioos.)

A. B. c D.

Description of Assets (including bust assets)

lnCOtne during reporting period

GRlss value at end of reporting period

Transactions during n:porting period

(I) (2) (I) (2) (I) not e:<empt

(2) (3)Plac:e "(X)" after each asset exempt Amount Type (e.g. Value Value Type (e.g. Date: Identity ofValue Gainfrom prior disclosure Code2 Method buy, sell, Month-Code I div. Code2 Code buyetfscllerrent or

(J-P) Codc3(A-H) int.) Day (J-P) I lA- (ifprivalc ...... ll'llnSaclioo)

merger, ((}W) redemption)

19. Coca Cola ,A Dividend Sell 1124 K

20. DuPont . B Dividend L T

21. DuPont A Dividend J T

22. General Electric A Dividend L T

General Electric A Dividend J T23.

24. Exxon Mobil Co1p. A Dividend Sell sn J

25. Hewlett Packard A Dividend Sell sn J

26. Pfizer, Inc. A Dividend L T

27. Pfizer, Inc. A Dividend J T

28. Unocal Corp. A Dividend Sc1I sn J

29. Wal-Mart A Dividend M T

Wal-Mart A Dividend Sell sn J30.

31. BPAmoco A Dividenil J

32. Bellsouth Corp: A Dividend Sell sn J

BankAmerica COip. A Dividend K T33.

1Phillips Petroleum (Now Conocophillips) A Dividend Sell sn

35. Banc One Okla. Co1p. A Dividend J T

36. SBC Conunmunications, Inc. A Dividend K T

l. Income/Gain Codes:

(Sec Columns Bl and D4)

2. Value Codes:

(Sec Columns Cl and D3 J

]. Value Method Codes

(S""• Column C2)

A Sl,000 or less

F ; $50,001-SIOO,OOO

s S 15,000 or less

N ; S250,000-S5DO,OOO

P3 = S25,000.0D1-SSO,OOO.ODO

Q = Appraisal

U = Book Value

B

G

K

0

R

V

Sl,OOl-S2,500

= Sl00,001-$1,000,000

= Sl5.001-$50,000

= SS00,001-S 1,000,000

= Cost (Real Estate Only)

= Olher

C

HI

L

Pl

P.t

S

W

=Sl,501-SS,OOO

= Sl.000,001-SS,000,000

• $50.001-SIOO,OOO

= $1,000,001-$5.000.000

= SMore lhan SS0,000,000

= Assessment

= Estimated

D =S5,00l-Sl5,000

H2 =More than SS,000,000

M = S100,001-S250,000

P2 = $5,000,001-S25,000,000

T = Cash/Market

f. Sl5,00l-S50,000

A.

disclosure

(2) (3)

'

1

'

(I) (5)

(e.g.

(Q-W)

39.

41. 315

Buy

45.

48.

49.

53.

FINANCIAL DISCLOSURE REPORT Date of ReponName of Person Reporting

Page 3of6 THOMPSON, RALPH G 4/2912004

- income, vnl11c. tmnscations (includes those of the spouse and dependent childn:n.. Sec pp. 34.57 of filing instructions.)VIL INVESTMENTS and TRUSTS

8. c. D. Income d1D"ing Gross value al end of Transadions during tcporting period

Description or Assets reporting period rcpcrting period (mcluding tnasl assets)

1 not exempt from(2) (I l (1) (2) (4)

Place "(X)" after each assel c:xCll)lll fi!>m priordisclosure

Value Val11e Type (e.g. Date:Amo11nl T)'PC Value Gain Wentity of Codc2 Code buyer/sellerCodc2 Method buy, sell, Month·Code I div. rent. or

Codc3(A·H) int.) IJ·P) merger, Day (J-P) I (A· (if private redemption) lnUISaetion)

37. Comcast Corp. A Dividend Sell sn K

38. Phillip Morris Cos., Inc. A Dividend Sell 115 K

Agilent Technologies, Inc. A Dividend Sell sn J

40. Dell, Inc. A Dividend K T Buy 6/16 K

DTE Energy Co. B Dividend K T Buy K

42. Fannie Mac USA A Dividend J T Buy 6/16 J

43. FPL Group, Inc. B Dividend L T 3121 L

44. Home Depot, Inc. A Dividend K T Buy 5n K

Johnson & Johnson A Dividend L T Buy sn L

46. Pepco Hid . Inc. A Dividend K T Buy 3121 K

47. Public Svc. Enterprise Group A Dividend K T Buy 5121 K

Puget Energy, Inc. A Dividend K T Buy 3121 K

United Health Group, Inc. A Dividend T Buy 6/16 J

so. United Tcclmologics Corp. A Dividend K T Buy 6116 K

51.

52. OK Mun. Pwr. Auth. c Interest L T

54.

Ok. Mun. Pwr. Auth. {Omitted 2002) c Interest L T


-------

1 hicomciGain Codes: A = Sl,000 or less B = Sl,OOl-S2,500 c "'S2,SOl-S5,000 D = Ss.oo 1-S 15,000 E Sl .OOl-SS0,000

(Sec Columns Bl and 04) F = SS0.001-SIOO,OOO G = SI00,001-$1,000,000 Ml = S 1,000,001-S5,000.000 1-12 =More than $5,000,000

1. Value Codes: = SI S,000 or less K = $15,001-SSO.OOO I. = S:i0.001-SIOO,OOO M -s100,001-s2so.ooo

(Sec Columns CJ and D3J N s S250,000-S500.000 0 = $500,001-Sl,OOO,OOO Pl = Sl,000,001-$5,000,000 P2 = ss.000.00i-s2s.ooo,ooo

P3 = S25,000,00 l-SS0,000,000 p.\ = SMorc than $50,000,000

J Valu Method Codes Q =Appraisal R = Cost (Real ESUtte Only J 5 = Assessment T = Cash/Market

(Se.· Columu Cll u =Book Value v =Other w = Es11ma1cd --· ·- --·--

c

w

(J) {4) (S)

Code

() E

_,

65.

(2)

int.)

l not exempt from disclosure

(J-P)

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting

Page 4of6 THOMPSON, RALPH G 412912004

VII. INVESTMENTS and TRUSTS - income. value, tr1111Sc:ations (includes those ofthe spouse and dependent children. Sec pp. 34-57 or filing instructions.)

A. B. c. D. Income during Gross value at end of Transactions during repor1ing period

Description of Assets reporting period reporting period (including tmsl assets)

(l) (I) (2) (I} (2)

Place ·cxr aRcr eadt asset exempt Value Value Type (e.g. Date:Amount Type (e.g. Value Gain Identity of from prior discloswe Method huy, sell.Code I div. rent. or Codc2 Month-(A-H) (J-1') CodcJ merger, Day

Code2 buyer/seller

(Q-W) tedemprion) I (A- (if private

. m transaction)

Alvord Ca. Uni. Sch. Dist. A Interest M TSS.

S6. West Seneca Ny. Cent. Sch. Dist A Interest M T

S7. West Seneca Ny. Cent. Sch. Dist A Interest M T

Va. St Hsg. Dev. Auth. Interest M TS8. A

S9. Va. St Hsg. Dev. Auth. A Interest Sell I0/8 M

60. Parle City Ut Sch. Dist A Interest Sell 11/18 M

61. Park City Ut. Sch. Dist A Interest Sell 9/15 M

62. De Soto Coty. Ms. Sch. Dist A Interest Sell 12/02 M

63. Puerto Rico Mun. Fin. Agy. A Interest Sell 12/16 M

OK St Ser A. A Interest Redeemed 7/lS K64.

OK Tmsn. OK Tpk. ('15) A Interest K T

66. OK Tmsn. OK Tpk. ('17) A Interest K T

67. Puerto Rico Pub. Blg. ATRV A Interest L T

68. Grand River Dam Auth. OK A Interest K T

69. OK Cnty. lndpt Sch. Dist A Interest Sell 10122 K

70. Still-tcr Ok Utils. Aulh. A Interest K T

71. PucrlD Rico Mun. Fin Agy. A Interest K T

72. Puerto Rico Elcc. Pwr. Auth. A Interest K T

--- -I . lncomeiGain Codes:

lScc CollUllns B l and D4)

2. Value Codes:

(Sec Columns CI and 03)

:l. Value Mclhod Codes

(S.:,· Culumn Cl)

A

F

N

P3

Q

u

=SI ,000 or l.:ss

: S50.001-S 100,000

=SI 5,000 nr le..<s

= s2so.ooo.ssoo.ooo

= S25,000.00l-S50,000,000

= A1>praisal

=Book Value

B

G

K

()

R

v

= Sl,001-$2,SOO

= $100,001-$1,000,000 HI

= S l 5,00 l-SS0,000 L

= S500,00l-S!,OOO,OOO Pl

N

Cosl (Real Estate Only) s

=Other -------- . --

$:?,50I ·SS,000

= $1,000,00l-S5,000,000

= S50.00 l -SI 00,000

s I .!100,001-$5 ,000,000

= SMore than SS0,000,000

= Assessment

= Es1i111atcd

: S5.00l-SIS,OOO

H2 =More than SS,000,000

M = SI00,001-$250,000

P2 = S5,000,00l-S25,000,000

T = Cash/Market

= $15,001-SSO,OOO

i

If

(3)

o"£iiiiii/I,

c D

,,

(2) (4)

73.

75.

77.


Page 5of6 THOMPSON, RALPH G 4129/2004

VIL INVESTMENTS and TRUSTS - income, value. transcations (includes those of the spouse and dependent children. See pp. 34-57 of61ing instructions.)

A. 8. c. D. Income during Gross value at end of Transae1ions during reporting period

Description of Assets reporting period reporting period(including trust assets)

(I) (.2) (I l (II not exempt from disclosure

(2) (5)Place "(X)" after each asset eKetnpt Amount Type (e.g. Value Value Type (e.g. Date: Value Gain Identity of from prior disclosure Code2 Method buy, sell. Code I div. rent. or Month- Code2 Code buyclfscllcr

(J-P) I (A- (if private Ml lrall!action)

(A-H) int.) (J-P) Codc3 merger, Day (Q-W) rcdemptioo)

OK Sl Tpk.Auth.('12) A lntcrest Sell 10/22 K

74. Klein Tx. lndpt. Sch. Dist A lntcresl Sell 9/24 K

Botetourt County Va. FRDG A lntcrest K T Buy 315 K

76. New York St Environmental FACS A Interest K T Buy 315 K

Oklahoma Water Res. Brd. A Interest K T Buy 315 K

78. GMAC Smartnotes A Interest K T Buy 2120 K

79. Monroe La. Sales Tx. Rev. A Interest L T Buy 3/10 L

80.

81. ASSETS OF TRUST: NOTE: Trust terminated I 0-18-03.

82. All previously listed assets distributed to benefici•ries.

83.

.84. ASSETS O TRUST: (Held as Trustee -

85. No personal ownership:)

86. New York Life Ins.Co.Policy ..

A Interest K T

87. (END TRUST ASSETS):

88.

89. ASSETS OF"TRUST: NOTE: Trust terminated 5-7

90. All previously listed assets distriutcd to beneficiary.

l. lnc-0m'c/Gain C-Odes:

(Sec C ohunn.• B I and D4 J

2. Value Code.•:

(Sec Colwnns Cl and Do J

3. Value Method Code.•

(See Column Cl\

A

F

N

Po

Q

u

SJ ,000 or less

SS0.001-S 100,000

= St 5,000 orless

= S250,000-S500.000

= $25,000,001-SSO.OOO.OOO

=Appraisal

= Book V lue

B

G

K

0

R

v

= S l ,00 I -S2,SOO

= SI00.001-$1,000,000

= SlS.OOl-SS0.000

= $500,001-Sl,000,000

=Cos: (Real Estate Only)

=Other

111

L

Pl

P4

s

\Ii

S:!.50l-S5,000

= s 1.000.001-ss.ooo.ooo

= 150.001-S I 00,000

$1,000,001-$5,000.000

= SMore than $50,000.000

As, essmem

= Eslimatcd -------·

"$5,001-SIS.OOO

H2 = More than $5.000,000

M = SI00,00l-S2SO.OOO

P2 = S5.000,00l-S25,000,000

T = Cash/Market

E SI s.001-$50,000

11

(2) (3) (4)

Code

,

c

___j

FINANCIAL DISCLOSURE REPORT Date of Repon Name of Pem111 Reporting

Page 6of6 THOMPSON, RALPH G 4/29/2004

VII. INVESTMENTS and TR USTS income. value, 1rnnsca1ions <includes 1nose or the spouse a11d dependent c1ii1i1rcn. see pp. 34.51 or filing ins1ruc1ions.)-

A. B. c D. Income dtU"inl! Gross value at end of Transactions during reporting period

Description of Assets reporting period reporting period (i11cluding tms1 assets)

91.

Place "(X)" after each asset exempt from prior disclosure

(1)

Amount Code I (A·H)

(2)

Type: (e.g. div. rail. or int.)

ll)

Value Codc2 <J·P)

(2)

Value Method Codc.1 (Q-W)

(I)

Type (e.g. buy, sell. merger, redemption)

Date: Month· Day

not exempt from disclosure

(S)

Value Gain Identity of Code2 buyer/seller (J-P) I (A· (if private

bmSaction)

92. ASSETS 09TRUST: (Held as Co-Trustee

93. No personal ownership) A Dividend N T Omitted in previous report

94. (END OF.TRUST ASSETS)

I. Income/Gain Codes: A = S 1,000 or less B = Sl.OOl-S2.SOO = 5250 I-SS,000 D = SS,001-SIS,000 E : SIS,001-SS0,000

(See Columns Bl and D4J F = SS0.001-SlOO,OOO G = SI00,001-Sl,000,000 HI = S 1.000.001-S5 .000.000 1-12 =More thanSS,000,000

. Value Codes: =SI 5,000 or less K = Sl5,001-$SO.OOO L = SS0.00 1-S100,000 M = SI00,001-$250,000

lSec Columns Cl and 03) N = $250,000-$500,000 0 = S500,001-Sl,OOO,OOO r1 = Sl.000.001-$5.000.000 P2 = S5,000,00I-S25,000,000

P3 = S25,0DO.OOl-$S0,000,000 P4 =$More than SS0,000.000

J. Value Method Codes Q =Appraisal R =Cost tReal Estate Only) s = Assessment T =Cash/Markel

(Sec Column C!\ u = Oook Value v =Other w =Estimated ---·-·---· --

--

FINANCIAL DISCLOSURE REPORT NameofPersonReporting Date of Repon

TIIOMPSON, RALPH G 412912004

(lndicare pan ofReport.) VIII. ADDITIONAL INFORMATION OR EXP LANA TIO NS

Committee on Financial Disclosure

FINANCIAL DISCLOSURE REPORT Name or Person Reporting

THOMPSON, RALPH G

IX. CERTIFICATION.

Date of Report

4/2912004

I certify that all information given above ( including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief: and that any .information not reported was withheld

Signature

because it met applicable statutory provisions pennitting non-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of5 U.S.C. §501 et seq., 5 U.S.C. § 7353, and Jtidicial Conference regulations.

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE TillS REPORT MAY BE SUBJECT TO CIVIl.. AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104) ·

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

AdminiStrative Office of the United States Courts

Suite 2-301

One Columbus Circle, N.E.

Washington, D.C. 20544

DISCLOSE EPORT Requied by Rcv in Goenment At of 178 124 (5 ...€¦ · SOURCE D E GROSS NCOME ....

Documents

Transcript of DISCLOSE EPORT Requied by Rcv in Goenment At of 178 124 (5 ...€¦ · SOURCE D E GROSS NCOME ....