James M Moody Financial Disclosure Report for 2009

8/3/2019 James M Moody Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/james-m-moody-financial-disclosure-report-for-2009 1/15

FINANCIAL DISCLOSURE REPORT R e p o r ~ R e q u i r e d b y t h e E t !, i¢ $in Government Act of 1978

FOR CAL E NDAR YE AR 2009 0 u . s .c a p p . ~ ) " ~ o m / 2 )

I. P e rson Repo rt ing ( las t n am e, firs t, m iddle in itia l) 2 . Court o r Org an iza t ion 3 , D a t e o f R e p o r t

M o o d y , Ja m e s M . U SDC, Ea s te rn D is t r ict o f AR 05/12 , t 2010

4 . T i t l e ( A r t i c l e I l l j u d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ; 5 a . R e p o r t ] ’ : ¢ p e ( c h e c k a p p r o p r l a tc , ’ ) , p c ) 6 . Repor t i ng Per i od

m a g i s t r a t e j u d g c s i n d i c a t e t i a l t - o r p . ’ u ’ t - t i m e )[ ] N o m i n a t i o n , D a t e 01 / 0112 009

U.S . D i s t r i c t Judge - S en io r [] Initial [] A n n u a l [] Finalto

12 / 3 1 / 2 009

5 b . [] A m e n d e d R e p o r t

7 . Chambers o r Of f ice Addres s 8. On ~he basi s of t he i nformat i on cont a i ned i n thi s Repor t and an ym o d i f i c a t i o n s p e r t a i n in g t h e r e t o , i t Is , i n m y o p i n i o n , i n c o m p l i a n c e

500 W es t C ap i t o l , Su i t e C -446 with app l icable l aws and regula t ions .

L i t tl e Ro ck , AR 7 220 1 - 339 6

Reviewing Officer ................................ Date ................

I i k l P O R T A N T N O T E S : T he in s truc t io n s acco m pan yin g th is fo rm m us t be fo l lo wetL Co m ple te 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 IO N S . ~ R ~ p o r r i . g i. a i~ i a ~ l o n ~ y ; ~ , ’ ,v p . ~ - ~ of filing instructions.)

[~] N O N E (N o re por table posi t ions .)

p O S I T I O N N / k M E O F O } ~ A N I Z A T I O N !E N T I TY

1 . Trus tee Trus t 1 Pa r t VI I , Line 26

2. Trustee Trus t 2 , Pa r t VI I , Lines 52

3. T ru s t e e Trus t 3 , Pa r t VI I , Line 88

4. Trustee Trus t 5 , Pa r t VI I , Line 121

I I . A G . R E E M E N T S . t~e~o,,i,,, individual only; see pp. 14-16 o f f iling instructions.)

NONE (No reportable agreemena’.)

PARTIES AND TERMS

l.



FINANCIAL DISCLOSURE REPORT ~x .... Person Reporting[

Date of ]Report

of 15 Moody, James M,

[

03 /12 /2010

I ll . N O N - I N V E S T M E N T I N C O M E . tR~,or,i.g indi~iduat and sp ..... ; see pp. 17-2 4 o filling instractions.)

A. Flier’s Non-Investment Income

~-~ (No reportable non-investment income.)ONE

~ SOURCE AND TYPE ~COME(yours, not spouse’s)

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 - lf yon were married during any parrion of the reporting year, complete this section.

[Dollar amount not requi red e .~cepl f or honorari a.)

~ NONE (No repotable non-investment income.)

_S_Q URCE AND TYPE

!. 2009 Tutoring.

2.

3.

4.

I V . R E I M B U R S E M E N T S - - ,, o, ,. ,v o ,, o, io , . ~ o a g i , , g .~ o o d . e n t e r ta i ...... t.

f Includvs those to spouse and depen dent children’ .see pp. 23-27 of f i ling instmtct iot~s.)

N O N E (No reportable reimbursements.)

~ ~ LQ,~A’I"ION PURPOSE ITEM S PAID OR PROVIDED

1.

2.

3.

4.

5~



FINANCIAL DISCLOSURE REPORT ~ N ....f P .....R e p o r l i n g D a t e o f R e p o r t

P a g e 3 o f 1 5 r ~ o o a y ,. la m e s M . 0 5 / 1 2 / 2 0 1 0

E ~ - - - ] N O N E (No reportable gifts.)

~ DESCRIPTION

1 .

2.

3,

4.

5.

V I . L I A B I L I T I E S . r z , , ~ . d ¢ , , , o , . o .~ o , , ~ . . .~ a . p . , , a ~ t c h i l d r e n ; s e e p p . 3 2 - 3 3 of Jiling instructions.)

NONE (No reportable liabilities.)

CREDITOR DESCRIPTION NALUE CODE

!.

2.

3 .

4.

5.



N a m e o f P e rs o n R e p a r l l n g D a t e o f R e p o r t

PageFINANCIAL4 o f 1 5 DISCLOSURE REPORT [ M o o d y , J a m e s M . 0 5 / 1 2 / 2 { . ) 1 0

V I I . IN V E S T M E N T S a n d T R U S T S .- i. ...... ~ . ~ , ~ . .. .. .. t i ~ n s ( ~ n c ~ u d e s t ~ s ~ ~ f $ p ~ s e a n d d ~ e n d e n t c h i ~ d r e n ~ s e e p p . ~ 4 - 6 ~ ~ f ~ i n g i n s t r ~ t i ~ n s .)V’-] NONE ( No reportable income, assets, or transactions.)

I Descr ip t i on of A~t s~ I n c om e d u ~ n g

~

G r o s s v a t u e a t e n d T r ~ s a c t i o n s d u r i n g r e p o r t i n g ~ c r i o d

( i nc luding t~st asse t s)

~ ( [~P°r~ ing per i od.

of repo~,ng period ...................................................

[ P l a c e " ( X ) " a ~ ¢ r g a c h a s s e t [ A m o u n t Va l ue V a } u c T ~ ( e . g . , ~ ld of

, [ C o d ~ l [, Type(e.g. ,~

~ x c m p t f l o ra p r i o r d ~ l o ~ u r ~ d i v. m n ~ , C o d e 2 M o t h o fl b u y , ~ 1 1 , mm !dd!~ ] C ode 2 C ode I b ~ y c r i s e l l c r

]~ ~-~ _

o r i n t . ) [~ ( J - P ) Code3 (Q-W)~ d ~ m p , i o n ) [ ~

[ [ (J-P) [ (A-H) , ] ,transaction) (if private

I. O n e B a n k A I n t er es t K T

2. B a n k o f A m e r i c a A Interes t J T

3. R e g i o n s B a n k A I n t e r e s t J T

4, T e lco Fed . C r ed i t U n i on B Divid end K T

5, A V e r y S p e c i a l Te a R o o m ( Y ) See Pa r t VI I I , No te

6, R e g i o n s B a n k / M o r g a n K e e g a n ( I R A ) A lnt . /Div. K T

7. Janu s G loba l Tech F nd A I n t er es t J T

8. V a n g u a r d G r o w t h I n d e x F u n d ( I R A ) A I n t er es t K T

9. B I t & M O i l Co m m S t o c k A Divid end J T

1 0 . P u t n a m A m e r . G ro w t h & I n c o m e F n d A Divid end J T

1 1 . A m e r . F u n d s A M C A P F n d B Divid end K T S o l d l 11/30/09 K( par t )

1 2 . Fide l i t y Eq . Agg r , G row th Fnd A Divid end J T

1 3 . ACCT I-2 (IILA(FTR,!) E Int . iDiv. O T

1 4. l S h a r e s R u s s e l l 2 0 0 0 V a l u e F u n d A Divid end J T

1 5 . I S h a r e s R u s s e ll 2 0 0 0 G r o w t h A Divid end K T

1 6 . I S h a r e s R u s s e ll 1 0 0 0 G r I n d e x A Divid end K T

1 7 . I S h a r e s R u s s e ll 1 0 0 0 V a l u e I n d e x A Divid end K T



N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tFINANCIAL D IS C LO S UR E R E PO R T

[ . M o o d Y , J a m e s M .a g e 5 o f 1 5 . 0 5 / 1 2 1 2 o i 0

NONE (No 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 t s i n c o m e d u r i n g G r o s s v a l u e ~ : t e n d 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

( i n c l u d i n g trust a s s e l 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

O) [ (2) ~ ~2) ~l) i ~2) ~ ~) I (5)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 I i T y p e ( e . g ., Value V a l u e l ’ . , ,’ p e ( e . g , , i Date i Vatue Gain! l d e n t i r y o f

e 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 1 d i v . , r e , a t , C o d e 2 M e l l~ o d b u y , s e ! l , m r n /d d/ yy C o d e 2 C o d e 1 b u y e r / s e t t e r

i i ( A - I - l )o r in t . ) ( J - P )

Code(Q_W)3

r e d e m p t io n ) ( J - p ) (A-tt) ~tr;~nsaetion)(if private

1 8 . IS h a r e s R t t s s e l l Midcap G Ind ex F D A Divid end J T

1 9 , I S h a r e s S & P M i d c a p 4 0 0 V a l u e A Divid end J T A

2 0 . t S h a r e s S & P M i d c a p 4 0 0 O r o w t h A Divid end K T

2 1 . I S h a r e s s & P 5 0 0 G r o w t h I n d e x A Divid end K T

2 2 . ISha r e s MSC I Em e rg i ng ~ . , l k t s Fd A Divid end S o l d 2/20 /09 J A

2 3 , ISha r e s S& P Eu rope 3 50 Mk t Fnd A Divid end S o l d 2/20 /09 J A

2 4 , l S h a r e s M S C I J a p a n I n d e x F n d A Divid end S o ld 2/20 /09 J A

2 5 . Barc l ay 1 - 3 ye a r A Dist r ibu t ion N T Bu y Z/20/09 N

2 6 . A CCT 1-4 (Tru s t l ) (S A )

2 7 , G r e e n e C n t y A R H o u s i n g B I n t er es l K T

2 8 . Pu l Cn ty A R H sp Revs Ch i l d r en ’ s H osp B I n t er es t K T

29 . U n i o n C n t y A R H o u s i n g A I n t er es t R e d e e m e d ’ 10/01/09 J A

3 0 , U A Fay tv l V a t Fac B I n t er es t K T

3 1 . J o n e ~ b o r o A R R e s H o u s i n g A I n t er es t R e d e e m e d 8 / 10 / 09 J A

3 2 . S pr i ngd a t e A R S ch D i s t #50 A I n t er es t K T

3 3 . B oon ev i l le A R S ch oo l D i s t A I n t er es t R e d e e m e d 1 0 / 1 ! 0 9 J

3 4 . S p r i n g d a l e A R S D 0 5 0 A l n l e re s t L T

I n c o m e G a i n C o d e s : B =$ t , 001 - $2 , -’ , 00 D = $ 5 , 0 0 J - S 1 5 , 0 0 0



FINANCIAL DISCLOSURE REPORT. ~ n , . e o ~ ’ e ~ u . ~ e ~ o ~ u g

[D a t e o f

of 15 M o o d y , - - , ~ " " I~OI. I~STMENTS and TRUSTS -- i~ ........ t ~ . , , . . . . . .. ,i ~ a n c l . d ~ t h o s e , ¢ s p .......... d d e p e n d e n t c h i ld r e n ; s e e p 9 , 3 4 - 6 0 o f f i l i n g i~ t ru~’t ions .)

N O N E (No reportable income, assets, or transactions:)

A. B. C. ~ D.

~ser i p t i on of Assem I n c o m e d u r i n g Grosg va l u e a t e nd ’ T r a n s a c t i o n s d u r i n g r e ~ r t i n g p e r i o d

( i n c l u d i n g t r u s t ~ s s e t s ) r epoai ag per i od c f r e p o r t i n g p e r i o d

P l ~ e e " ( X ) " a ~ ¢ r e a c h a s s e t A m o u n t Type (e.g.,a l u e V a l u e ~ Type (e.g.,a ~ V a l u e ~ G a i n ~ l d e n t i ~

e x e m p l I ] o m p r i o r d b c l o s u r e C o d e [ d i v . r ~ , C o d a 2 M e t h o d ~ buy, serf.~ m m ] d d / ~ ~ C o d e 2 C o d e I

b u y ~ s C t l e r

[ { Q - W ) 1 i t r a n s a c t i o n )

~5 . L R A R H l t h F e e B d B a p l i s t M e d C e n t e r A I n t er es t R e d e e m e d 10z l / 09 J

3 6 . C o n w a y A R P u b F a c B d C a p I m p t s R e v R e f A I n t er es t K TH e n d r i x

3 7 . P a r a g o u l d A R W a ~ e r & S e w e r R e v B i E B I n t er es t L T

3 8 . AR S t R l~ g Wa t e r Was t e D i s p & P011C B/E B I n t er es t K T

3 9 . AR St Univ Rev Hsg Sys FGtC B/E B Interes t K T

40 . N L R H l t h F a c B d H l t h C a r e R V R e f B a p B ’ In te re s t K Tt i l t h B iE

41 , F t . S m i th A R W&S Re v S e r C F S A B /E B I n t er es t K T

42 . A R S ta t e H igh Ed S e t B B /E (X ) B I n t er es t K T See Pa r t VI I I , No te 2

4 3 . U niv AR l . J n iv R ev V a t Fac Fy tvl C amp u s A B I n t er es t K T See Pa r t VI I I , No te 3B iE F G IC (X )

44 . Ark ade l ph i a AR Pu b Ed Fee s R ev Ou ac h i t a C I n t er es t K TBap t U n iv B iE

4 5 . R o g e r s A R S e w e r R e v h n p r v m t A m b a c B / E C I n t er es t L T

4 6 . A C C T I - 5 ( I R A ) ( M S ) A Int . /Div. J T

4 7 . Russe l lv i l l e , A R S ch oo l A ht t er es l K T B uy 4/27/09 K

4 8 . Bryan t , AR Sc hoo l A I n t er es t K T Bu y 11/13 ;09 K

4 9 . Pa r i s , AR Sc hoo l A . I n l er es t L T B u y l 1 /23 /09 L

5 0 . M S L i q u i d A s s e t M M F a d s A I n t er es t J T

5 1 . Ac t ivi s i o n B l i zza r d I n c . ( f o rme r l y A I n t er es t J TActivi t ion , lnc )

I , I n co m e G a l, C o d e s : A = S I /J0 0 o r l e s s I ) =$1 .0 01 - $2 ,51 ~ 0 C =$2 ,5 0 1 - "~ 5 .0 0 0 D =$5; t )01 - $15 ,000 E = $ 1 5 . 0 0 1 - 5 5 0 , 0 0 0



FINANCIAL DISCLOSURE REPORT Name of PersonReparting]

Dare’f Report

P a g e 7 o f 1 5 M o o d y , J a m e s M .

[

05/12/2010

V I I . I N V E S T M E N T S a n d T R U S T S - i. ....... ~, , ransactions ( Includes those o f spouse and depende nt e hild,en; see pp. 34-60 o f f i l ing instru,’ t ion.¢.)

[ ] N O N E (No reportable income, assets, or transactions.)

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 h l e a t e a ~ d T ~ n s a c ’ f io n s d a r i n g r e p o r t i n g p e r i o d

( i n t r 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

(t ) (2 ) 0) (2~ 0) ~ (2) (3) [ (4) (5 )

~1 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 ( e . g . , Value V a l u e T y p e ( e . g . , D a t e Value[ Ga in I d e n t i t y o f

i e x e m p t f r o m p r i o r d i s c l o s u r e i C o d e 1 d i v . ~ r e n t , C o d e 2 M c ’ ,h o d b u y , s e l ! , m m i d d / y y Code 2 [ Code I b u y e r ! s e l l e r

! ( A - t t ) o r in t .) ( J - P ) C o d e 3 r e d e m p t i o n ) (J -P) [ (A-I t ) ( i f p r i v a t e

i ( Q -W ) ] ¯ t r a n s a c t i o ~

5 2 . (Trust 2) E In t . /Die . N TC C T

! 5 3 . F i rs t S o u t h w e s t P r i m e M M F n d s A I n t er es t J T

5 4 . Alc oa , I n c . A D ivid e n d S o ld 5 /5 /09 J

i 55 . Bu nc o B i lb aov izc aya A Divid end J "1"

5 6 . B a n k o ~ A m e r i ca C o r p A Divid end S o l d 5/7/09 J

57 Berk sh i r e Na thaway , I n c .. A D iv idend J T

!~. B r i s t o l M y e r s S q u i b bC o . A Divid end S o l d 7/29 /09

9. C I T ~ o o ~ , l n o . A D ivid e n d S o ld 1 2 1 9 / 0 9 J

t60 . Cos tco A Divid end .I T

i 61 . D o w C h e m i c a l C o . A Divid end S o ld 07/30 /09

6 2 . Fiserv, Inc . A Divid end J T

6 3 , G e n e r a l M o t o r s C o r p A Dividend S o l d 7 / 17 / 09 K

6 4 . G l a x o S m i t h K l i n e A Divid end J T

6 5 . I n t e r n a ti o n a l P a p e r Co A Divid end K "!"

6 6 . Lafa rge S .A . A Divid end S o l d 11/30/09

6 7 . Lexma rk I n t . G rou p A Divid end J "~"

6 8 . Limi t e d B r and s , I n c . A Divid end J T



FINANCIAL DISCLOSURE REPORT [ Name of P . . . . . Re p o r l l u g D a t e o f R e p o r t

of 15I Moody, James 51.

05 /12/2010

VII . INVESTMENTS and TRUSTS -- ineo ..... tu~, t ....... r i o , I s (I n c l u d e s t h o s e o f s p o , t 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 . 3 4 - 6 0 o / fi / i n g in s t r l t ¢ l i o n s . )

[] NONE (No re por table in c om e , asse ts , or t ransac t ions .)

D e s c r i p t i o n o [ ’ A s s e t s l u c o m e d u r i n g I G r o s s v a l u e a t c u d T t ’ a n s a e t i o n s d u r i n g ~ ’ e p o . r t in g p e r i o d

( i n c lu d i n g t r u s t a s s e t s ) r e p o r t i ~ g p e r i o d ! o f r e p o r t i n g p e r i o d ~

P t a e e " ( X ) " a f t e r e a c h a s s e t [Amou n t /T ype ( e . g . , V a l u e [ , Va lu e " r y p e ( e . g . , i Da~e [Value G a i n ldent ib, uf

ex em p t f r om p t i o r d i s e l o su r e

] C o d e l [ ( A . H ) ]

div. , rent , Co d e 2 i Me thod b u y , s e l l, [mmZdd/yy/¢ode2 Codeli b u y e r / s e l l e r

Io r i n t . ) ( J ’ P ) I C o d e 3 i r e d emp t i ou ) ( J P ) (A-H) I ( i f p r i v a t e

6 9 . M G I C l n v e st m e m C o r ~ . A Divid end J

7 0 . Mark e l C o rp A Divid end J T

7 I. M i c r o ~ f t C o r p . A D iv idend J T

i 2 . PNC F in anc i a l Svc s . O rp ( ~ n rm e r l y PNC A Divid end J TB a n k )

7 3 . Pe t r o l e o B r a s i l e i r o , SA A D iv idend K T

7 4 . Pf ize r , Inc. A Divid end J T

7 5 . P u b l i c S e r vi c e E m e ~ s e A D iv idend K T

7 6 . Pf i z e r A D iv idend K T

7 7 . Spec t r a Ene r g C o rp .A ¯ Divid end K

T

7 8 . T a iw a ~ S e m i c ~ n d u c l o r M f g . A Divid end J T S o ld 12 /4/09( p a a )

7 9 . " r e l e f on i c a d e e s p an a SA A Divid end K T

’ ~ 0 . Tele t i~nos d e Nle×i e~ A ~ i v i d e n d J T N u y 9 /17/09

8 1 . T im P a r t i ~ i p a ~ e s A Divid end J T

8 2 . Uni teve~ NV A Divid end S o ld 8 / 2 6 1 0 9 K

8 3 . Wash i ng t on M u tu a l , In c . A Divid end S o ld 1/10/09

8 4 . Wes t e r n U n i en A Divid end S o ld 2!10/09

8 5? C a l a m o s G r ~ w l h C L ~ " A Divid end J T

I . h !co m e G a ir~ Co d e s : A = $ ],0 0 0 o r I ¢ s$ B --S I ,G g l - $ 2 ,5 0 0 C = $2 ,5 0 1 - ~ ;s ,0 0 0 D = $ 5 ,0 0 1 - $ 1 5 ,0 0 0 E ~ S 1 5 ,0 0 1 - S s 0 ,0 o t)



FINANCIAL DISCLOSURE REPORT s .... f P e r s o n R e p o r t in g [ D a t e o f R e l ~ a r t

P a g e 9 o f 1 5 r ~ o o a y , J , ~ m e s M .~

0 5 a ~ / 2 0 1 o

VI I . INVESTMENTS and TRUSTS - i ...... ,, value, tr ..... a o n s ( I n c lu d e s t h o s e o f s p o u ~ a n d d e p e n d e n t c h i l d r e n ; s e e p ~ 3 4 - 6 0 o f f i li ,g i n s t r u c t io n & )

NONE (No re por table in c om e , asse ts , or t ransac t ions .)

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 i n g G ro s s v a l u e a t c ~ d T r a n s a c t i o n s d a r i n g ~ p o ~ i n g p e r i o d( i n c l u d i n g t ~ s t a s s e ~ s ) r eposing per i od o f r e p o r t i n g p e r i o d

(1) I (2) (1 ) (2) (1) Z (2) (3) ~ (4) (5 )

Place "(X)" af t . . . . . h . . . . t Amou n t ~ T~e (e .g . , V alue V a lu e Ty~ (e.g. , ~ D a t e V a l u e ~ G u m l ~ ¢ n l i ~ , o f

( A - H ) o r i n t . ) ( J - P ) ICode~ W~3

e d e n p ~ o n )

~ [ (J-P)~ ( A - H ~ ( i f p r i v a t e

8 6 . D a v is N V V e n t u r e C L C A D i v i d e n d S o l d 9 / 1 ~ 0 9 K B

8 7 . O p p e n h e i m e r G l o b a l C L C A Divid end J T

8 8 . ACCT 1-7 (Trus t3 ) (MS) A lnt . /Div. L T

8 9 . Morgan S t a n l ey C o rn S t oc k A Divid end J T

9 0 . Wzl -Ma r t S t o r e s C o rn S t oc k A Divid end K T

9 1 . D iscove r F ind S vcs (X ) A I n t er es t J T

9 2 . Acct I - 8 (Trus t4) (SA) D Int . /Div. M T

9 3 . LR AR Sc hoo l D i s t . S e r B C In te re s t L T

9 4 . Pu l C n ty AR . ’ C h i l d r e n ’s Ho sp . A Int . /Div. J T

9 5 . Heb e r Sp r i ng s Sc hoo i D i s l r i c t A Divid e n d R e d e e m e d 5 /5 /09 J

9 6 . For t Sm i th A R \V&S Rev Set C FSA P,!E A I n t er es t K T see pa r t VI I I No te 4

97 .....F e d Ho m e Lo a n M l g e Co r p Me a l Te r m No t e A lnt . /Div. R e d e e m e d 5 ! 5 ! 0 9

9 8 . Gene r a l Mo to r s C o rp No t e A I n t er es t R e d e e m e d 5/5/09 L

9 9 . Mu n i C a sh T ru s t Fad s B I n t er es t J T

l O 0 . ACCT2-1(I~)

1Ol. Rus s e l lv i l l e , A l ( Schoo l A Divid end L T B uy 4i27/09 L

1 0 2 . R o g e r s A R S c h o o l No n e L T Bu y 5 / 2 7 / ’ 0 9 L



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Page 1 0 of 1 5 M o o d y , J a m e s M . 0 5 / 1 2 ’ 2 0 1 0

NONE (No reportable income, asset& or transactions.)

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 i n g G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r in g r e p o r t in g p e r i o d( i n c l u d i n g t ~ s t a s s e ~ s )

i~ p o r t i n g p e r i o d o f r e p o S i n g p e r i o d

(0 (~) O) (~ ) 0) (~ 1 I (3) ~ (4) (5 tPlace "{x)" af ter each ~¢t ~ A n o u n t T y p e ( e . g .. Value Va l ue

~ Value

C o d e IT y p e ( e . g . , D a l e G a i n l dent i u of

e x e m p t f r o m p r i o r d i sc $ o s u r e div, rent . C o d e 2 M eth o d b u y . s e l l, m m { d ~ y y C o d e 2 Co d e I b u y c r l s e l l c r( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p l ~ o n ) ( J -P ) ~ (A-H) ( i f p r i v a t e

~ ( Q -W )l ] ~

t r a n s a c t i o 0 )

[ 1 0 3 . M o n e y T ~ s t M M F n d s A I n t er es t J T

1 0 4 .Chevron Texaco A Divid end S o l d 2 1 2 / 0 9 J

~ 1 0 5 . Fi r s t Ho r i zon Na l i o n a l C o O. A Divid end J T

1 0 6 . Su n T ru s t Bank s A Divid end J T

~07 . Gene r a l E l e c t r i c C o . A Divid end J ]’ S o l d 2/25 /09 J( p a r t )

1 0 8 . Acct 2 -2 (1RA)(MS) C Int~Div. M T

H

1 0 9 . L i q u id A s s e l M M [ h n d s A I n t er es t l T

l I 0 . F e d E x C o ~ . A Divid end L T

1 1 . I n t e l A Divid end K T

1 2 . Gene r a l E l e c t r i c A Divid end J T

t3 , Q u a l co m m , I n c . A Divid end J T

1 4. Hea l t hways , I n c . A Divid end S o l d 2 /24/09 J

1 ! 5 . MS F l ex ib l e I n c ome T ru s t B A I n t er es t

t 1 6 . Ac t ivi s i o n B l i zza r d , I n c . ( f o rme r l y A I n t er es t J TActivi t ion lnc )

1 1 7 . B l a c k s to n e G r o u p L P A Divid e n d S o ld 2/29 /09 J

1 1 8 . M o r g a n S t a n l e y A Divid end J T S o l d 2/24/09 J( p a ’ ~ )

1 1 9 . B e r k s h i r e H a l h a w a y B ( H l d g C o . ) A Divid end S o l d 2/25 /09 J

j { S e e Co lu n ln s B I o n d D~ ) F = $5 0 ,0 0 | - $ 1 0 0 ,0 0 0 G -S 1 0 0 ,0 0 | - $ 1 ,0 0 0 ,0 0 0 H 1 = $ 1,000, [101 - $5,000,000 H2 = M ~ f e t h an $ 5 , 0 0 0 , 0 0 0

P 3 = S 2 5 . 0 0 0 , 0 0 1 - ~ 5 0 . 0 0 0 , 0 0 0 P 4 =M or e I h a n



FINANCIAL DISCLOSURE REPORT N ~ m ~ o f P ..... R e p o r t i . gI

D a t e O f R e l ~ 0 r t

Page 1 1 of 15 Moody, James M,

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05/t2/201

1~ N O N E ( N o reportable income, ~sets, or transaction.)

A. B. [ C. D .D e s c r i p t io n o f A s s r t s I n c o m e d ~ r i n g G r o s s v a l u e a t 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 s i n g p e r i o d

( i n c l u d i n g t i n s 1 a s ~ t s ) r eposing per i od o f r e p o ~ t i n g p e r i o d

P la c e " ( X ) " a f t e r e a c h a s s e t A m o u n t Value ~ V a l u e ~ Date ~ Value Gain l d~t i ty o f

e x e m p t f r o m p r i o r d i s c lo s u r e C o d e 1T y p e ( e . g .,

[

T) ~ ( e .g . , Im m z d a ’ y y

C o d e to d e 2 buyer i~[l¢i v . , r e n t . C o d e 2 M e th o d b u y , s e l l ,

, 1 [ ( A - H )

o r ~ n t , ) ( J - P )

~ Code(Q_W)3

r e d e m p t i o n )

] 1’1

( J - P ) ( A - H )t~,~etion)(if private

1 2 0 . G o l d m a n S a c h s O ~ , I n c . A D ivid e n d S o ld 2/25 /09 J

12 1 . AC C T 2 -3 (T ru s t 5 ) (MS) D lnt . IDiv. M T

!22 . A c t ive A sse t s M M Tras t A lu t e re s t J T

t23. Cisco A Divid end J T

1 2 4 , D e l l C o m p u t e r A Divid end J T

125 . G ene r a l E l ec t r i c A Divid end K T

12 6 , Mic r o s o f~ A Divid end K T

12 7 . T a r r a n t C n ty T X Hea l t h R e sou r c e s T a t s . A I n t er es t R e d e e m e d 3/28/09 J

t 2 8 . ! r ig T ax Exemp t Sec A I n t er es t J T

1 2 9 . E n t e r p r i s e B n k N a i l A s s e t O m a h a N E A I n t er es t R e d e e m e d 3/23/09 J

1 3 0 . G r e e n b a n k C D A ht t er es t R e d e e m e d 3/23 /09 J

1 3 I , Disc ove r F i n e l Svc s A I n t er es t J T

1 3 2 , C hes ape ak e Ene r gy C o rp A Divid end J T

1 3 3 . C e l g e n e C o r p A Divid end J T

1 3 4 . ACCT 2-4 ( IRA)(RJ) D lnt , /Div. M T

1 3 5 . L i q u id A s s e t F u n d A I n t er es t

1 3 6 ’ J B a n c o S a n l a n d e r C D A Divid end R e d e e m e d 3/23 /09 J



FINANCIAL DISCLOSURE REPORT ~,.e of 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 t

of 1 5 M o o d y , J a m e s M . 0 5 / 1 2 / 2 0 1 0

N O N E (~ reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e ~ s ~ I n c o m e d n r i ag G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r in g r ~ p o z ~ m g p e r i o d( i n c l u d i n g t r u s t a s s e t s ) ~ r e po rt i n g p er i o d o f r e po rt i n g p er io d

(l) (2 ) (0 (~) (]) ~ (2) [ (3) (4) (5 )

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 ( e . g . , V M u e V a l u e T ~ e ( e g . , D a t e Value G a i n l den t i~e x e m p t f r o m p r i o r d i s c lo s u r e [ C o d e d ~ v . , r e n t , C o d e 2 M e t h o d b u y . s e l l, m m / d d / yy i C o d e 2 C o d e I b u y e r / s e l l e r

( A - H ) o r in t . ) ( J - P ) C o d e 3 r e d e m p l i o n ) ~ (J-P)A - 1 0 ( i f p r i v a t e

( Q - W ) ’ t r a n s a c t it m )

1 3 7 . D a l l a s C i t y B a n k C D A I n t c r e s ~ J T

138 . D i scove r B ank CD A I n t er es t R e d e e m e d 3/2M09 J

13 9 . Eve r g r e en So l a r , I n c . A In te re s t R e d e e m e d 3/23/09 J

1 4 0 . W a s h M u t B k C D A I n t er es t R e d e e m e d 3/23 /09 J

1 4 1 . ACCT 2-5 ( iDeal ing corn . s tock C Divid end K T

1 4 2 . Fr i s t Sec u r i t y Bank A Int . /Div. J T Bu y 3 1 2 3 / 0 9 J

1 4 3 . M e r c k A Divid end S o l d 5/5/09

1 4 4 . A c t r u n i e n B J i ~ a r d A I n t er es t J T

1 4 5 . R u s s e l lv i ~ l e , AR Sc hoo l A I n t er es t K T B uy 4/27 ;09 K

1 4 6 . B ~ a n t , A R S c h o o l A I n t er es t K T B u y 1 / 1 3 / 0 9 K

1 4 7 . Pa r i s , AR Sc hoo l A I n t er es t L T Bu y 11/23 /09 L

l~. A l c o a A Divid end J T Bu y 4/29 /09 J

1 ~ 9 . C en t e r po i n t Ene r gy A Divid end J T B uy 8/14/09 J .....

1 5 0 . Br i s t o l Meye r s A Divid end J T ¯ Bu y 9/21 /09 J

1 5 1 . W a l t e r I n v . M g m n t A Dividend J T B uy 11/16 /09 J

152 . N t ed i c a l P r op e r t y T ru s t A Divid end J T Bu y 12 /14/09 K

1 5 3 . R o g e r , A R S c h o o l A I n t er es t J "F Bn y 5/27/09 L



FINANCIAL DISCLOSURE- REPORT N ..... f Person Reporting Date of Report

Page 1 3 of 15 M o o d y, J am e s M . 0 5 / 1 2 / 2 0 1 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 . e o , n e , ~ e . , . . . . . . ’ t i , , . s r I n c l n d e s t h o s e ofsp ...... d dependent children; seepp. 34.60 of f i ling lnst tuetlons.)

NONE (No reportable income, assets, or transactions.)

Description of Assets ~ Income dnring Gross valne at end Transactions ducing reposing period

(including tms~ ~sets) [ ~portmg p~od of reporting period

I ~t) [ (~) O) ~ (z) I t~) ~ ~ ~ (3) ~ (~) t (5 )P!ace" (X)"af i er eaehasse~ ]Amou n t [ T ~ e ( e . g . , Va lue V a lu e T ~ e t e . g . , ~ Da~ Value ~ Gain I d e n t i t ~ o f

exempt from pr or d sc]osure Code I [ d v, rent, Code 2 Melhod b u y , ~ e l l , mm/dd/yy [ Code 2 C o d e 1 bu y e r / s e l l e r

1 5 5 , L i ~ e N a t i o n C C E S ~ i n c o A Divid end J T B u y ~I0/09 J

156 ~ " M ed i c a~ P r op A ~ i v i d e n d J T B u y 1 2 1 1 4 1 0 9 J

~mex ........

A Divid end J T Bu y 9 / 10 / 09 J

I, I n c o m e G a i n C o d e ~ : A = $ 1 , 0 0 0 o r l e s s B ~ $ t , 0 1 ~ 1 - $ 2 . 5 0 0 C ~ $ 2 , 5 0 l - $ 5 , 0 0 0 D = $ 5 , 0 0 1 ~ $ 1 5 , 0 0 0 E =$15 , 00 t - $50 , 0 0~

2 . V ~ t u e C o d e s J = 1 1 5 , 0 0 0 o r l e ~ K ~ $ 1 5 , 0 0 1 - 5 5 0 , 0 ~ L = $ 5 0 , 0 0 1 - S l O 0 , 0 0 0 M = $ l O 0 , 0 0 [ - ~ 25 0 , 0 ~ J 0( S e e C o l u m n s C I a n d D 3 ) N " = S 2 5 0 , 0 0 1 - $ 5 0 0 , ~ O ~ 5 5 0 0 , 0 0 1 - S 1 , 0 0 0 , 0 0 0 P t = S 1 , 0 0 0 , 0 0 1 - S 5 , O 0 0 , O (~ P2 = $ 5 . 0 0 0 . ~ ~ - S 25 . 0 0 0 , 1 ) 0 0

P 3 = ~ 2 5 ,0 0 0 ,0 0 1 - S 5 0 ,0 ~ ,0 0 0 p 4 = M o re th a n $ 5 0 ,~ 0 ,0 0 03 . V a l u e M e ~ h o d C o d e s Q = A p p r a i s a l R ~’ o s t (R e a l E s t a t e Ou l y ) S -A ss e s sn ~ e~ t T = Cas h M a rk e t



FINANCIAL DISCLOSURE REPORT [ ~ " ° °f P . ~ o n R . p o r , ~ , ,g D ~ , ~ o f R . ~ 0 r t

of 15[ Moody, James M.

0 5 / 1 2 i 20 1 0

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a,~,~,~,o~o,~)



F I N A N C I A L p a g e 15 of 15 D I S C L O S U R E R E P O R TM o o d y , J a m e s M . 05/12/2010

IX. C E R T I F I C A T I O N .

i c e r t if y t h a t a ll i n f o r m a t i o n g i v e n a b o v e ( i n c lu 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 , i f a n y ) isa c c u r a t e , tr u 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 ie 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 le s t a t u t o r y

p r o v i s io n s p e r m i t t i n g n o n - d i s c lo s u r e .

l f u r th e r c e r t if 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 l t s 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 io 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 ia l C o n f e r e n c e r e g u l a t i o n s .

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 l L F U L L Y F A L S I F I E S O R F A I L S T O FI L E T H I S R E P O R T M A Y B E S U B J E C T TO C I V I L.A N D CRIMIN A L S A N CTIO N S (5 U .S .C . app . § 104 )

FILING INSTRUCTIONS

M a i l s i g n e d o r i g in a ! a n d 3 a d d i ti o n a l c o p i e s t o :

C o m m i t te e o n F i n a n c i a l D i sc l o s u r eAd m i n i s t r a t iv e O f f i c e o f t h e U n i t e d S t a t e s C o u r t sS u i t e 2 - 301O n e C o l u m b u s C i r cl e , N . E .W a s h i n g t o n , D . C . 2 0 5 4 4

James M Moody Financial Disclosure Report for 2009

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