James M Moody Financial Disclosure Report for 2010

8/3/2019 James M Moody Financial Disclosure Report for 2010

1/19

FINANCIAL DISCLOSURE REPORTFOR CALENDA R YEAR 2010

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

I. Person Reporting ( last name, f irst , middle initia l)M o o d y , J a m e s M .

4. Title (Artic le I l l judges indicate ac t ive or senior status;magis t rate judges indicate ful l - or pan- t ime)U.S. Dis t r i c t Judge-Sen ior

7. Chambers or Of f ice A d d r e s s500 W e s t C a p i to lSui te C-446L i t tl e Ro c k , AR 7 220 1- 3396

2. Court or OrganizationU S D C, E a s t e r n D i v i s io n

5a . Report Type (check appropria te type)] N om ination , Date[] Initial [] Annual [] Final5b. [] Amended Report8. On th e b a s i s o f th e in fo rm a t ion c on ta ine d in th i s R e por t a nd a nymodif ica t ions perta in ing there to , i t i s , in my opin ion , in compliancewith a pp l i c a b le l a ws a nd re gu la t ions .

R e v ie wing Off ic e r Date

3. D a t e o f R e p o r t05/09/2011

6 . R e por t ing Pe r iod01/01 /2010to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followetL Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on last page.

I. P O S I T I O N S . m e V o , ~ i n g individual only; see pp. 9-13 of fillng instructions.)D NONE (N o reportable positions.)I. Trus tee2. Trus tee3. Trus tee4. Trus tee5.

POSITION NAME OF ORGANIZATION/ENTITYTrus t #1-Par t VII Line 41Trus t #2-Par t VII Line 64Trus t #3-Par t VII Line 107 , l ine 112Trus t #4-Par t VII Line 134

I I . A G R E E M E N T S . ~ R e V o n l n g i . a i v id u o t o n t y ; s ~ , v v . 1 4 - 1 6 of filing instructions,)~] N O N E ( N o reportable agreements.)

.I.

2.3.

DATE PARTIES AND TERMS


2/19

FINANCIAL DISCLOSURE REPORTPage 2 of 19

Nam e of Person ReportingM o o d y, J am es M .

Date of Reporl05/09/201 I

III. N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; seepp. 17-24 of filing instructions.)A. Filers 1Non-ln vestm ent Income~] N O N E (N o reportable non-investment income.)

D A T E SO U R C E A N D TYPE

2.

3.

4.

INCOME( y o u r s , n o t s p o u s e s )

B . S p o u s e s 1 N o n - I n v e st m e n t I n c o m e - If you were married during anyportlon of the reporting year, complete this section.(Dollar amount not required except for honoraria.)

N O N E (No reportable non-investment income.)

1.20102.3.4.

D A T E . SOURCE AND TYPESelf E mploy e d T u to r

I V . R E I M B U R S E M E N T S -transportation, lodging, food, e n t e r t a i n m e n t .(Includes those to spouse and dependent children; see pp. 2 _% 27 of filing instructions.)

~] N O l lE (No reportable reimbursements.)

2.3.4.5.

SO U R C E D A T E S LO C A T IO N PURPOSE ITEMS PAID OR PROVID


3/19

FINANCIAL DISCLOSURE REPORTP a g e 3 o f 1 9

Nam e of Person ReportingM o o d y , J am e s M .

D a t e o f R e p o r t05/09 /2011

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

SO U R C E D E SC R IP T IO NI.2.3.4.5.

V A L U E

V I . L I A B I L I T IE S . a n c l u d e s t h o s e o l sp o u s ~ a n d d e ~ , e n d e n t children; seepp. 3 2 - 3 3 of filing instructions.)N O N E (No reportable liabilities.)

C R E D I T O R D E S C R I P T I O N1 .2.3.4.5.

V A L U E C O D E


4/19

FINANCIAL DISCLOSURE REPORTPa ge 4 of 19

N a m e o f Pe r s o n R e p o r t i n gMoody, James M.

Date of Report05/09/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)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 l u d i n g t r u s t a s s e t s )

Place "(X)" after each assetexempt from prior disclosure

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 dr 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

(1 ) (2 ) (1) (2)A m o u n t Type (e.g., V a lu e V a l u eCode I d i v . , r e n t , C o d e 2 M e t h o d( A - H ) o r i n t . ) (J-P) C o d e 3

( Q - W )A I n t e r e s t L TA I n t e r e s t J TA I n t e r e s t J TA I n t e r e s t J TB Int./Div. K TA Dividend L TA Dividend J TA Dividend J TA I n t e r e s t J TB Dividend J TA Dividend J TA Dividend J TA Dividend J TA lnt./Div. J T

1. O n e B a n k N A - A c c ou n t2. B a n k O f Ame r i c a N A- Ac c o u n t3. Re g i o n s B a n k N A- Ac c o u n t4. T e l c o Fe d e r a l Cr e d i t U n i o n - Ac c o u n t5. 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 ) -Ac c ount6. V a n g u a r d Gr o w t h I n d e x Fu n d ( I RA)7. Fidel i ty Growth Stra teg ies Fund N /L-FDEGX (IRA)8. Act iv i s ion Bl izzard Inc-ATV-(IRA)9. Go l d ma n S a c h s B a n k- Ac c o u n t ( 1RA) ( X )1 0 . B H & M O i l C o m m S t o ck1 1 . P u t n a m A m e r G ro w t h & I n co m e1 2 . A m e r F u n ds A M C A P F u n d1 3 . Janus Global Tech Fund1 4 . Ra ymo n d J a me s B a n k FS B - Ac c o u n t ( X )1 5 . Header I -11 6 . I S h a r e s Ru s s e l l 20 0 0 V a l u e Fu n d1 7 . l s h a r e s ln c M S C I Australia-EWA

A DividendA Int./Div.

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

( l) (2) (3)T y p e ( e . g ., D a t e Valueb u y , se l l , m m / d d / y y C o d e 2

redempt ion) ( J - P )

S o ld 0 2 /0 4 /10B uy 06/28/10

JJ

(4 ) (5 )Gain Iden tity o f

Code 1 b uy e r / s e l l e r(A-H) ( i f p r i v a t e

t ransact ion)

I . Incom e Gai n C odes : A = $1, 000 o r l ess B =$1,001 - $2,500 C = $2,501 - $ 5 ,000 D = $5 ,001 - $ 15,000(See C ol um ns B I a nd D4) F =$ 50,001 - $ 100,000 G =$ 100,001 - $ 1,000,000 H 1 =$ 1 ,0 00 ,0 01 - $5 ,0 00 ,0 00 H 2 =M o re t ha n $5 ,0 00 ,0 00

2. V alue C o de s J = $ 15 ,000 o r l ess K = $15,001 o $50,000 L -$ 50 ,001 - $ 100,000 M = $ 100 , 001 - $250 , 000( S e e C o l u m n s C I a n d D 3 ) N = $250 , 001 - $500 , 000 O =$500,001 - $1,000,000 PI - $1 ,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000P3 =$25,000,001 - $50,000,000 P4 = Mo re t h an $50 , 000 ,0003. Val ue Mct h od C odes Q = Appra i sa l R = C ost (Rea l E s t a t e O nl y) S =As s e s s me nt T = C a s h M a r k e t( S e e C o l u m n C 2 ) U =Book Va lue V = O t h e r W =Es t ima te d

E =$15,001- $50,000


5/19


Name of Person ReportingM o o d y , J a m e s M .

Date of Report05/09/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a t u e , t r a n s a c t io n s (Includes those of spouse a n d dependent children; see pp. 3 4 - 6 0 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

D e sc r ip t io n o f A s se ts In c o m e d u r i n g(including trust assets) r e p o r t i n g p e r i o d( 1 ) ( 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 ( e . g .,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 1 d i v . , r e n t ,( A - H ) o r i n t . )

1 8 . I s h a re s I n c MS CI CD A I n d e x - E W C A Int./Div.1 9 . I s h a re s T R M S C I E m e r g M k t - E E M A Int . /Div.20 . I shares Tr Barclays 1-3 yr -SHY A Int./Div.21 . I S h a re s T R M S C I E A F E I DX- E F A A In t JDiv .22 . l S h a r e s T R Ru s s e l l 10 0 0 V AL - I W D A Int . /Div.23 . I s h a re s T R R us e l l M C P G R o I W P A Int . /Div.24 . I S h a re s T R S & P M C 40 0 GRW - I J K A Int . iDiv.25 . I S h a r e s T R Ru s s e l l 10 0 0 GRW - I W F A Int . /Div.26 . I s h a r e s T R Ru s l 20 0 0 V a l u e - I W N A Int . /Div.27 . IShares TR Russel l 2000 Growth-IWO A In t JDiv .28 . I S h a r e s T R S & P Mi d c a p V a l u e - / J J A lnt . /Div.29 . I S h a r e sT R S & P S M L CP Gr o w - I J T A Int . /Div.30 . I s h a r e s T RB a r c l a ys 1 - 3 y r - CS J C lnt . /Div.31 . IShares Russel l 2000 Growth A Int . /Div.32 . I S h a r e s Ru s s e l l 10 0 0 Gr . I n d e x A Int . /Div.33 . I s h a r e s Ru s s e l l 10 0 0 V a l u e I n d e x A lnt . /Div.34 . I shares Russel l Midcap G Index Fund A Int . /Div.

Gross value at endo f r e p o r t i n g p e r i o d

(1) (2)Value ValueC o d e 2 M e t h o d

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

J TK TJ TK TK TK TK TK TJ TK TJ TK TM T

( l)Type (e.g.,

buy, se l l ,redempt ion)

Transact ions during report ing period(2) (3) (4) (5 )

Date Va lue Gain Ident i ty ofm m / d d / yy C ode 2 C o d e 1 buyer/seller

( J - P ) (A-H) (if privatet ransact ion)

B uy 06/28/10 JB uy 02/04/10 KB uy 06/28/10 JB uy 02/04/10 KB uy 06/28/10 KB uy 06/28/10 KB uy 06/28/10 KB uy 06/28/10 KB uy 06/28/10 JB uy 06/28/10 KB uy 06/28/10 JB uy 06/28/10 KB uy 06/28/10 MS o ld 0 2 /0 4 /10 KSo l d 02/04/10 KS o l d 02/04/10 KS o l d 02/04/10 K

A

A

A

A

1. Incom e Gai n C odes : A = $1, 000 o r l ess B =$1 ,001 - $2 ,500 C = $ 2,501 - $ 5,000 D = $5 ,001 - $15 ,000(See C o lum ns B 1 an d D4) F = $ 50,001 - $100 ,000 G =$ 100,001 - $ 1,000,000 H I = $ 1,000,001 - $ 5,000,000 H2 = More t h an $5 , 000 , 0002. V a lue C o d e s J = $15,000 o r le s s K = $15 , 001 - $50 , 000 L = $50 , 001 - $100 , 000 M = $100 , 001 - $250 , 000(Se e C ol um ns C I an d D 3) N =$250 ,001 - $ 500,000 O =$ 500 ,001 - $ 1,000,000 PI =$1 ,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$2 5.000.001 . $50,000.000 . P4 = M ore l h an $50 , 000 , 0003. Val ue Met h od C odes Q = Appra i sa l R =Co s t ( Re a l Es ta t e Only ) S =As s e s s me nt T = C a s h M a r k e t( Se e Column C2) U =Book Va lue V = O t h e r W =Es t ima te d

E =$15,001- $50,000


6/19


N a m e o f P e r so n R e p o r t in gM o o d y , J a m e s M .


V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of.filing instructions.)D N O N E (No reportable incom e, 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 Income during G r o s s v a l u e a t e n d

(including trust assets) reporting period o f r e p o r t i n g p e r i o d( 1 ) (2 ) (1) (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 Type (e .g , Value Valueexempt from prior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M e t h o d( A - H ) o r i n t . ) ( J - P ) C o d e 3( Q - W )

35 . I S h a r e s S& P M i d c a p 40 0 V a l u e36 . I S h a re s S & P Mi d c a p 40 0 40 0 Gr o w t h37 . I S h a r e s S & P 5 0 0 Gr o w t h i n d e x38 . I shares Barclay 1-3 year-Lot I -SHY39 . Go l d ma n S a c h s B a n k ,U S A- Ac c o u n t ( X )40 . Ra ymo n d J a me s B a n k , FS B - Ac c o u n t ( X )41 . Header I -242 . M un i C a s h T r us t ( X)43 . Batesv i l l e Ar School Dis t 001 RFD G &C o n s t44 . Gr e e n e Co u n t y AR H o u s in g45 . P u l C n ty A R H s p R e v C h i ld r e n s H o s p4 6. U n io n C n ty Ar Ho u si ng47 . UA F A y e tv l V a r F a c48 . Sprindale Ar Sch Dls t #5049 . Sp r i n g d a l e A R SD 05050 . L R A r k H e a l th F a c B D B a p t i s t M e d ic a lCente r51 . C o n w a y A R P ub F a c B d C a p I m p r o ve m e n t sRe v R e f H e n d r ix

A Int . iDiv.A Int . /Div.A Int . /Div.B Int . iDiv.A Inte res tA Inte res t

M TJ TJ T

A In t e re s t L

TT

T

T

T

(1 )Type (e.g.,

buy, se l l ,redempt ion)

Transactions during reporting period(2) (3) (4)

D a t e Va lue Gainm m / d d / yy C ode 2 Code 1

( J - P ) (A-H)

So l d 02/04/10 K ASo l d 02/04/10 J BS o ld 0 2 /0 4 /10 K ASo l d 02/04/10 M A(par t)

B uy 11/08/10 L

Redeemed 12/03/10 K ARedeemed 10/01/10 J A

Redeemed I0/01/10! K A

A Inte res t KB Inte res t KB Inte res tA Inte res tB Inte res t LB Inte res t KC Inte res t LA Inte res tB Inte res t K

(5 )Identi ty ofbuyer/seller(if privatetransaction)

1. Income Gain Codes: A = $1,000 o r le ss B =$1,0 01 - $2,50 0 C =$2 ,501 - $5,000 D =$5,001 - $15,000( Se e Colur nns BI a nd D 4) F =$50,001 - $100,000 G =$100,001 - $1,000,000 HI =$1 ,000,001 - $5,000,000 H2 =Mor e tha n $5,000,0002. Val ue C odes J = $15,000 o r le ss K = $15,001 - $50,000 L =$50,001 - $100,000 M = $100,001 - $250,000

( S e e C o l u m n s C I a n d D 3 ) N = $250 .001 - $500 , 000 O =$500,001 - $1,000,000 P 1 =$ 1, 00 0,0 01 - $5 ,0 00 ,0 00 P 2 = $5 ,0 00 ,0 01 o $ 25 ,0 00 ,0 00P3 =$25,000,001 - $50,000,000 P4 =Mo r e tha n $50,000,0003. Val ue Met h od C odes Q = Appra i sa l R =Co s t ( Re a l Es t a te Only ) S =As s e s s me nt T = C a s h M a r k e t( Se e Column C2) U ~Book Va lue V = O t h e r W =Es t ima te d

E =$15,001- $50,000


7/19

FIN A N C IA L D ISC L OSUR E R E P OR TPage 7 of 19

Name of Person ReportingM o o d y , J a m e s M .

Date of Report05/09 /2 01 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 n c o m e , v a l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 ofiling instructions.)N O N E (No reportable income, a ssets, or transactions.)

A. B. C. D.Description of A ssets Incom e d uring Gross va lue at end T ransactions during repo rting pe riod

( including t rust assets) repor t ing per iod of repor t ing per iod( 1 ) ( 2 ) (1) (2) (1 ) (2) (3) (4) (5)

Place "(X )" after each asset A m oun t Ty pe (e .g , V a lue V a lue Type (e.g., Date Va lue Gain Id en tity o fexempt f rom pr ior di sclosure Code 1 div., rent, C ode 2 Method buy, se l l , m m /d d/y y C od e 2 Code 1 b uy e r / s e l l e r(A-H) o r i n t . ) (J-P) C ode 3 redem ption ) O-P) (A-H) (if private

( Q- W ) t ransact ion)

52 . P a r a g o u ld A R W a t e r & S e w e r R e v B / E C Inte res t L53 . AR S t R Fd g W a t e r W a s t e D i s p & P o l l CB / B Inte res t KE54 . A R S t Un iv R e v H s g S y s F G I C B /E C Inte res t L

TT

55 . N L R H l t h Fa c B o a r d H l th Ca r e RV R e f B In te r e s t KBapt is t Hth B/E56 . FO r t S mi t h AR W a t e r & S e w e r Re v S e r C B Inte res t KFSA B/E57 . AR S t a t e Hi g h E d S e r B B Inte res t K

TTT

58 . U n i v o f Ar k U n i v R e v V a r Fa c Fy t v l l e B Inte res t KC a m p us A B /E F G I C59 . Ar ka d e p l h i a AR P u b E d Fa c s Re v O u a c h i ta C Inte res t LB a p t s t Univ B/E60 . Ro g e r s AR S e w e r e I mp r v t Am b a c B / E C Inte res t L

T

T

T61 . R us s e l l e v i l e e A R Sc h o o l B Inte res t K62 . B r y a n t A R S c h o o l C Int./Div. L63 . P a r i s A R S c h o o l C Inte res t L64. Header 1-365 . C e n te r p o in t E n e r g y A Int./Div.66 . W a l t e r l n v M g m t A lnt . /Div.67 . Medic a I Prope r ty Trus t A Int . iDiv.68 . Energy , Inc . A Int./Div.

SoldSoldSoldSold

09/09/10 J01/15/10 J03 /1 7 /1 0 K04/26/10 K

CAB

C

1. Incom e Gain C od es : A =$ 1,000 o r less B = $ 1,001 - $ 2,500 C = $ 2.501 - $5 ,000 D = $5,001 ~ $15,000( Se e Columns BI a nd D 4) F -$50,001 - $100,000 G =$100,001 - $1,000,000 HI =$1,000,001 - $5,000,000 H2 = More t h an $5 , 000 , 0002. V alue C od es J = $ 15,000 o r less K = $ 15 ,001 - $ 50,000 L = $ 50,001 - $100.000 M = $ 100 , 001 - $250 , 000( Se e Columns CI a nd D 3) N = $250,001 - $500 ,000 O =$ 500,001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000,000 P4 - Mor e tha n $50,000,0003. Val ue Met h od C odes Q = Appra i sa l R = C ost (Rea l E s t a t e O nl y) S =As s e s s me nt T = C a s h M a r k c t( Se e Column C2) U =Book Va lue V = O t h c r W =Es t ima te d

E =$15,001- $50,000


8/19

FINANCIAL DISCLOSURE REPORTPage 8 of 19 Iam e of Person ReportingM o o d y, J am es M . Date of Report05/09/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Incom e during Gross va lue a t end Transact ions dur ing repor t ing per iod( including t rust asse ts) rep ortin g p erio d o f rep orting perio d

(l ) (2 ) (1) (2) 0) (2) (3) (4) (5 )Place "(X)" af ter each asset Am ount Type (e .g ., Va lue Va lue Type (e.g., Date V a l u e Gain Identity ofexempt f rom pr ior di sclosure Code 1 div., rent, C ode 2 Method buy, se l l , mm/dd/yy C ode 2 C od e I buyer/se l ler(A-H) o r i n t . ) (J-P) C ode 3 redem ption) (J-P) (A-H) (if private(Q-W) t ransact ion)

69 .70 .71 .72 .73 .74 .75 .76 .77 .78 .79 .80 .81 .82 .83 .84 .85 .

Live Nation CCE SPinco A Int.h)iv.Telemex A lnt./Div.First SOuthW est PRime MM FUnds A Int./Div. J TAloca Inc. A Int./Div. K TBanco B i lbaov izcaya A Int./Div. J TBan k of Am er ica Corp A Int./Div. J TBerkshire Hathaway, Inc. A lnt. iDiv. J TBP Am oco Spons ADR-BP A Int./Div. K TCostco A Int./Div. K TContax Para t iac ipacoes SA-CTXNY (X) A lnt./Div. J T

S o ld 0 3 /0 5 /10 JS o ld 0 2 /0 3 /10 J

B u y 05/11/10 J

B u y 05/05/10 K

FISERV, Inc. A lnt./Div. K TGlaxosmithKl ine A Int./Div. J THosp i t a l i ty Partners Trus t -HPT B Int./Div. K THosp i t a l i ty Partners Trus t -HPT A Int./Div.

S o l d 1 !/22/10 J(par t)B uy 04/15110 JSold 04/15/10 K(part)

Internat ional Paper Co A lnt./Div.Internat ional Paper Co A lnt./Div.Lexm ark Int Group A Int./Div.

K T

T

B u y 05128/10

Sold 04/19/10

JJ

1. In com e Gain C o des : A = $ 1,000 o r less B =$1.001 - $2.500 C = $ 2,501 - $5 ,000 D = $ 5,001 - $15,000( Se e Columns B I a nd D 4) F = $50 , 001 - $ 100 , 000 G = $1 00 ,0 01 - $ 1,0 00 ,0 00 H 1 =$ ! ,0 00 ,0 01 - $5 ,0 00 ,0 00 H2 = More t h an $5 , 000 , 0002. Val ue C odes J =$15,000 o r less K = $15,001 - $ 50.000 L = $50,001 - $100 ,000 M =$ 100,001 - $250 ,000( S e e C o l u m n s C I a n d D 3 ) N = $ 250 ,001 - $500 ,000 O = $500 ,001 - $1,000 ,000 P I = $1,000 ,001 - $ 5 ,000 ,000 P 2 = $5,000,001 - $25,000,000

P3 =$25,000,001 . $50,000,000 P4 -More than $50,000,0003, Val ue Met h od C odes Q = Appra i sa l R =Cos t ( Re a l Es t a t e Only ) S =As s cs s me nt T = C a s h M a r k e t( S e e C o l u m n C 2 ) U =Book Va lue V = O t h c r W = E st i m at ed

E = $15 , 001 - $50 , 000


9/19

FINANCIAL DISCLOSURE REPORTPa ge 9 of 19 Ia m e o f P e r so n R e p o r t i n gM o o dy , J ames M . Date of Report05/09/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B . C. D.Description of Assets In com e d urin g Gross va lue a t en d Transact ions dur ing repor t ing per iod( including t rust asse ts) rep ortin g p erio d o f rep orting perio d

(l ) (2 ) (1) (2) (l ) (2) (3) (4) (5 )P lace "(X)" a fter each asse t Am oun t Type (e .g. , Va lue Va lue Type (e .g. , Date Va lue Gain Id entity ofexempt f rom pr ior di sclosure Code 1 d iv., rent, C o de 2 Method buy , se ll, m m/d d/yy C o de 2 C od e I buyer/se l ler(A-H) o r i n t . ) (J-P) C ode 3 redem ption) (J-P) (A-H) (if private( Q- W ) t ransact ion)

86 . L i mi t e d B r a n d s l n c A Int . /Div. S o ld 0 2 /0 3/10 J A87 . M G I C I N ve s tm e n t C o r p A Int . /Div. J T88 . Marke l Corp A l n t JD i v . J T89 . M i cr os of t C o rp A Int . /Div. J T B uy 09/09/10 J

(addl)90. MotorsLiquidation-MTLQQ (X ) A Int./Div. J T91. PNC Financial Svcs G rp A Int./Div. K T

92 . P e t r o l e o B R a s i le r i o , S A A Int . /Div. K T93 . Pf ize r A I n ( / D i v . J T94 . Publ ic Serv ice Enterp r i se A Int . /Div. K T95 . Spect ra Energy A l n t . /Div . K T96 . T a w a i n S e m i c o n d u c to r M f g A I n t . , , D i v . So l d 01/19/10 J A97 . T a w a i n S e mi c o n d u c t o r Mf g A l n t . /Div . J T B uy 01/29/10 J98 . B a n c o S a n t a n d e r S A- S T D A l n t . /Div . J T B uy ~ 02/19/10 J99 . T e l e f o n i c a d e e s p a n a S A B Int . /Div. K T100. T e l e f o n o s d e M e x i co A Int . /Div. J T101. Tim Particiacoes A Int./Div. J T

102. T h o mb u r g Income Builder CL C-TIBCX A lnt./Div. M T B uy I 1/27/10 M

1. In com e Gain C o des : A = $ 1,000 o r less B =$1,001 - $2,500 C = $ 2,501 - $5 ,000 D = $ 5,001 - $15,000(See Columns 131 and D4) F =$50.00 ] - $ 100,000 G = $ 100,001 - $1,000 ,000 H 1 = $1,000,00 l - $ 5,000,000 H2 =M ore tha n $ 5,000 ,0002. Val ue C odes J =$15,000 or l e s s K = $15 , 001 - $50 , 000 L = $50,001 - $100 ,000 M =$ 100,001 - $250 ,000( Se e Columns CI a nd D 3) N =$ 250 ,001 - $500 ,000 O =$500,001 - $1,000 ,000 PI =$1 ,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 -$25,000,001 - $50,000,000 P4 = Mo re t h an $50 , 000 , 0003. Val ue Mct h 0d C odes Q = Appra i sa l R =Cos t ( Re a l Es t a t e Only ) S =As s e s s me nt T ~ C a s h M a r k e t( Se e Colunm C2) U =Book Va lue V = O t h e r W =Es t ima te d

E = $15 , 001 - $50 , 000


10/19


N a m e o f P e r so n R e p o r t in gM o o d y, J am es M .


V I I . I N V E S T M E N T S a n d T R U S T S - inco,,e, value, t ..... ctions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Descrip tion o f A sse ts Incom e d uring Gross va lue a t end Transact ions dur ing repor t ing per iod

( including t rust asse ts) repo rting period of repo rting period( 1 ) ( 2 ) (1) (2) (1 ) (2) (3) (4) (5 )Place "(X )" after each asset Am oun t Type (e .g ., Va lue Va lue Type (e .g ., Date Va lue Gain Ident i ty ofexempt f rom pr ior di sclosure Code 1 d iv., ren t, C od e 2 Method buy, se l l . m m / d d / yy C ode 2 C o d e l b uy e r/se l le r(A-H) o r i n t . ) (J-P) C ode 3 redem ption ) ( J - P ) (A-H) (if private

(Q-W) I transaction)

1 03 . C a l a m o s G o rw t h C LC A Int . /Div.1 04 . ISh a re s M SC I Ja p a n I n d e x F un d -E W J A Int . /Div. K T1 05 . O p p e n h e i m e r G Lo b a l C L C A Int . /Div. M T1 06 . H e a d e r 1 -41 0 7 . R a y m o n d J a m e s B a n k , F S B - A c c o u n t( X ) A Inte res t K10 8 . Mo r g a n S t a n l e y Co r n S t o c k A D i v i d e n d J10 9 . W a l - Ma r t S t o r e s Co m S t o c k B D i v i d e n d K1 1 0 . D i s c o ve r F i a n c i a l Svc A D i v i d e n d J11 I . Header 1-5112 . Ru s s e l l v i ll e AR S c h o o l D i s t Co n s t r CFG B Inte res t K1 1 3 . LR A R Sc h o o l D i s t r ic t Se r B C Inte res t KI 14 . P u l a s k i Cn t y AR Ch i l d r e n s H o s p A Inte res t1 1 5 . F o r t Sm i t h A R W a t e r & Se w e r R e v Se r C A Inte res t K116 . Ge n e r a l MO t o r s Co r p N O t e A Inte res t K117 . Mu n i Ca s h T r u s t Fu n d s A Inte res t KI 1 8 . R o g e r A R S c h o o l C Inte res t L119 . He a d e r 2 - 1

Sold 11/24/10 L D

TTTT

TT

R e d e e m e dTTTT

12/03/10 J A

1. In co m e Gain C od es : A = $1,000 o r less B =$1 ,001 - $2 ,500 C =$2,501 - $5,000(See Columns B I a nd 134) F = $50,001 o $ 100,000 G =$100,001 - $1,000,000 H 1 =$ 1,000,001 - $ 5,000,000

2 . Va lue Code s J =$15,000 or l e s s K =$15,001 - $50,000 L =$50,001 - $100,000( Se e Columns C I a nd D 3) N = $250 , 001 - $500 , 000 O =$5 00 ,00 1 - $ 1,0 00 ,0 00 P I = $1,0 00 ,0 01 - $ 5,0 00 ,0 00

P3 =$25,000,001 - $50,000,000 P4 - Mor e tha n $50,000,0003. Val ue Met h od C odes Q = Appra i sa l R =Cos t ( Re a l Es t a t e Only ) S =As s e s s me nt( Se e Column C2) U = B o o k V a l u e V = O t h e r W =Es t ima te d

D =$5,001- $15,000H2 =Mor e tha n $5,000,000M=$100,001 - $250,000P2 =$5,000,001- $25,000,000T = C a s h M a r k c t

E =$15,001- $50,000


11/19

FINANCIAL DISCLOSURE REPO RTPa ge 11 of 19

N a m e o f P er s o n R e p o r t in gM o o d y, J am es M .


V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)[] N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets I nc om e dur i ng Gross va lue a t end Transact ions dur ing repor t ing per iod( including t rust asse ts) repo rting period of repo rting period

(1 ) (2 ) (1) (2) (1) (2) (3) (4) (5 )Place "(X)" af ter each asset Amount Type (e.g.. V a lu e V alu e Type (e.g., D a t e V alu e Gain Identity o fexempt f rom pr ior di sclosure C o d e 1 div., rent, C ode 2 Method buy, se l l , m m / dd/ y y C ode 2 Code 1 buyer/se l ler(A-H) o r i n t . ) (J-P) C ode 3 redem ption ) (J-P) (A -H) (if p rivate(Q -W ) transaction)

120. Raymond Jam es Bank , FSB A Interest J T121. First Horizon Na tional COrp A Dividend J T122. Sun Trust Ba nks A Dividend J T123. Header 2-2

124. Raymond Jam es Bank, FSB A Interest J T125. Fed Ex CO rp A Dividend L T126. Intel B Div idend L T127. Qualcornm , Inc A Dividend J T128. Act iv i s ion B l izzard , Inc . A Dividend J T129. Morgan Sta nley A Dividend J T130. Ap ple Inc . -AAPL A Dividend K T131. Merck A Dividend J T132. B lacks tone Group LP Comm Uni t Ltd-BX A Distribut ion J T133. Header 2-3134. Raym ond James Ba nk, FSB A Interest K T135. Cisco A Dividend J T136. Dell Com pu ter A Dividend J T

B u y 05/07/10 KB u y 11/05/10 K

1. Incom e Gain C odes : A = $ 1,000 o r te ss B = $1,001 - $2,500 C = $2,501 - $5,000 D =$5,001 - $15,000(S ee Co lu mn s B I a nd D4 ) F ~ $5 0,0 01 - $ I0 0,0 00 G = $100 , 001 - $1, 000 , 000 HI =$1 ,000,001 - $5,000,000 H2 = More t h an $ 5 , 000 , 000

2. V alue C o d es J = $ 15 .000 o r Its s K = $ | 5 ,001 - $50,000 L = $50,001 - $100 ,000 M =$ 100,001 - $ 250,000( S e e C o l u m n s C I and D3) N =$ 250 ,001 - $500 ,000 O =$500,001 - $1,000 ,000 P 1 =$ 1, 00 0, 00 1 - $ 5 ,0 00 ,0 00 P 2 =$ 5, 00 0, 00 1 - $ 25 ,0 00 ,0 00P3 = $25,000 ,001 - $50,000,000 P 4 = M o re th an $ 50 ,000 ,0003. Val ue Met h od C odes Q = Appra i sa l R =Cos t ( Re a l Es t a t e Only ) S =As s e s s me nt T = C a s h M a r k e t( Se e Column C2) U =Book Va lue V = O t h e r W ~Es t ima tcd

E =$15,001 - $50,000


12/19


N a m e o f P e r so n R e p o r t in gM o o d y , J a m e s M .


V I I . I N V E S T M E N T S a n d T R U S T S - i n e o , ~ e , v a l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of A ssets Incom e d uring Gross va lue at end T ran sactions d uring repom ng p erio d

( including t rust assets) re po rtin g p eriod o f repo rting period(1 ) (2) (1) (2) (1 ) (2) (3) (4) (5 )

Place "(X)" after each asset Am ount Type (e.g., Va lue V a l u e Type (e.g., D a t e Va lue Gain Ident i ty ofexempt f rom pr ior di sclosure Co d e t div., rent, C ode 2 Method buy, se l l , m m /d d/yy C od e 2 Code 1 buyer/se l ler(A-H) o r i n t . ) (J-P) C ode 3 redem ption ) (J-P) (A-H) (if private

( Q- W ) t ransact ion)

1 3 7 . G e n e ra l E l e c t r ic A D i v i d e n d K T138 . Mi c r o s o f t A D i v i d e n d K T1 3 9 . D i s c o ve r F l n c l Svc s A D i v i d e n d J T1 4 0 . C h e s a p e a k e E n e r g y C o r p A D i v i d e n d J T1 4 1 . C e l eg e n e C o r p A D i v i d e n d J T1 4 2 . H e a d e r 2 -41 4 3 . R a y m o n d J a m e s B a n k , F S B A Int . /Div, K T1 4 4 . G o ld m a n S a c h s B a n k , U S A - A c c o u n t ( X ) C Inte res t M T1 4 5 . E ve rg re e n So l a r , I n c . A D i v i d e n d J T1 4 6 . I D e a l H o l d i n g L t d C D i v i d e n d K T147. Minera l in te res t l ) -Lafaye t te County C Roya l ty J WA r k a n s a s ( X)148 . Re n t a l # l- N a s h v i l le T N - ( X ) C R e n t K W149 . I S h a r e s T R MS CI E me r g Mkt - E E M N o n e1 5 0 . IS h a r e s T R M S C I E A F E I n d e x - E F A A D i v i d e n d15 1 . IS h a r e s T R M S C1 E AFE I n d e x - E FA N o n e152. P o e w r s h a r e s Q Q Q T r us t UN i t S e r i e s 1- A D i v i d e n dQ Q Q Q153. P o e w r s h a r e s Q Q Q T r us t UN i t S e r i e s 1- N o n eQ Q Q Q

S o l d 06/28/10(par t)Sold 06/28110B uy 02/04/10Sold 06/28/10Bu y 02/04/10

K

K

K

K

K

A

I . Income G ain (2odes: A =$ 1,000 o r less B = $ 1,001 - $ 2,500 C = $2,501 - $ 5,000 D = $ 5 ,001 - $ 15,000( Se e Columns B1 a nd D 4) F = $50,001 - $ 100 ,000 G = $ 100,001 - $ 1,000,000 HI =$1,000,001 - $5,000,000 H2 = More t h an $5 , 000 , 0002. Val ue C odes J =$15,000 or l e s s K = $15 , 001 - $ 50 , 000 L $50,001 - $100,000 M = $100 , 001 - $250 , 000( S e e C o l u m n s C I a n d D 3 ) N = $250 , 001 - $500 , 000 O =$500,001 - $ 1,000,000 PI - $1 ,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000P3 =$25,000,001 - $50,000,000 P4 = M ore t h an $50 , 000 , 0003. Val ue Met h od C odes Q = Appra i sa l R =Co s t ( Re a l Es t a te Only ) S =As s e s s me nt T = C a s h M a r k e t(See C ol um n (22) U =Book Va lue V = O t h e r W =Es t ima te d

E = $15 , 001 - $50 , 000


13/19


Nam e of Person ReportingM o o dy , J ames M .


V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.D escrip tion o f Assets I nc ome d u r i n g Gross value at end Transactions d u r i n g reporting period

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d(1 ) (2 ) (1) (2) (1 ) (2) (3) (4) (5 )

Place "IX)" after each asset A m o u n t Type (e.g., Value Value Type (e.g., D a t e Value Gain Identity ofexempt from prior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M e tb o d b u y , s e l l , mm/dd/yy C o d e 2 C o d e 1 b uy e r / s e l l e 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 private

( Q - W ) t r a n s a c t io n )

154. P o w e r S h a r e s D B Co mm o d i t y In d e x A Dividend Sold 06/28/10 KTRac k ir t -DBC155. P o w e r S h a r e s D B Co mm o d i t y In d e x N o n e Bu y 02/04/10 KT R a c k in - DB C15 6 . Se c t o r S P D R T R S B I MA t e r i a ls X L B A Dividend So ld 0 6 /28/10 J15 7 . Se c t o r S P D R T R S B I MA t e r i a ls X L B N o n e Bu y 02/04/10 J15 8 . S e c t o r S P D R T R S B I H E a l t h c a r e - X L V A D ivid e n d So ld 0 6 /28/10 K15 9 . S e c t o r S P D R T R S B I H E a l t h c a r e - X L V N o n e Bu y 02/04/101 K160 . S e c to r 8 P D R " I R S B I S T P L S X L P A Dividend Sold 06/28/10 J16 I . S e c t o r SP D R T R S B I S T P L S X L P N o n e B uy 02/04/10 J1 6 2 . S ec t o r S P D R q R S B I D I S C R - X L Y A Dividend So ld 0 6 /28/10 J163 . Se c t o r S P D R " f R S B I D I S CR - X L Y N o n e Bu y 02/04/10 J1 6 4 . S e c to r S P D R I R S B I - E n e r g y = X L E A D ivid e n d So ld 0 6 /28/10 J1 6 5 . S ec t o r SP D R T R S B I - E n e r g y = X L E N o n e Bu y 02/04/10 J1 6 6 . S e c to r S P D R T r S B I - F IN L - X L F A Dividend Sold 06 /2 8 /1 0 J1 6 7 . S e c t o r SP D R r r S B I -F I N L - X L F N o n e Bu y 02/04/10 J1 6 8 . Se c t o r S P D R T R S B I - IN D S - X L I A Dividend So ld 0 6 /28/10 J169 . S e c t o r S P D R T R S B I - 1N D S - X L I N o n e B uy 02/04/10 J1 7 0 . Se c t o rSP D R T R SB I -T e c h -X LK A D ivid e n d So ld 0 6 /28/10 K

A

A

I. I ncom e Gain C ode s : A =$ 1.000 o r less B = $ 1,001 - $2,500 C = $ 2,501 - $5 ,000 D = $ 5,001 - $15,000( S e e C o l u m n s B I a n d D 4 ) F = $50,001 - $ 100,000 G = $ 100,001 - $1,000,000 HI =$1,000.001 - $5,000.000 H2 = More t h an $5 , 000 , 0002. Val ue C odes J = $15 , 000 o r l ess K = $ 15 ,001 - $ 50,000 L = $ 50,001 - $100,000 M = $ 100 .001 - $250 , 000( Se e Columns C I a nd D 3) N =$250,001 - $500 ,000 O = $500,001 - $ 1,000,000 P I = $1,000,001 - $5 ,000 ,000 P2 = $5,000,001 - $25 ,000 ,000

P3 = $25,000.001 - $50 ,000 ,000 P 4 = M o re than $50,000,0003. Val ue Met h od C odes Q = Appra i sa l R = C ost (Rea l E s t a l e O nl y) S =As s e s s me nt T = C a s h M a r k e t( Sce Column C2) U =Book Va lue V = O t h e r W =Es t ima te d

E = $15 , 001 - $50 , 000


14/19

FINANCIAL DISCLO SURE REPORTPa ge 14 of 19

N a m e o f P e r s o n R e p o r t in gMoody, Jam es M.

Date of Report

0 5 / 0 9 / 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 - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (N o reportable income, a ssets, or transactions.)

A. B. C. D.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 Gr o ss va l ue a t e n d T r a n sa 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( in c lu d in g tr u s t a s s e ts ) re p o r t in 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) ( 1 ) ( 2 ) ( 1 ) ( 2 ) (3) ~ (4) ( 5 )Place "(X)" after each asset A m o u n t Type (e.g., V a lu e V a l u e Type (e.g., D a t e Value Gain Identity of

exempt from prior disclosure C o d e 1 d iv . , 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 d y y C o d e 2 C o d e 1 b uy e r / s e l l e r( A - H ) or in t . ) (J-P) C o d e 3 r e d e m p t i o n ) (J-P) ( A - H ) (if private( Q - W ) tr a n s a c t i o n )

I71. Sector SPDR TR SBI-Tech-X LK None B u y 02/04/10 K

1. Incom e Gai n C odes : A =$1,000 o r le ss B = $1,001 - $2,500 C = $2,501 - $5,000 D = $5,001 - $15,000(See C ol um ns B 1 and D4) F = $50,001 - $ 100,000 G -$ 10 0,00 1 - $ 1,0 00 .0 00 H 1 = $ 1,000,00 t - $ 5,000,000 H2 =M ore lha n $ 5,000,000

2. V a lue C o d e s J = $15,000 o r le s s K = $15 , 001 - $50 , 000 L =$50,001 - $ I00,000 M = $100,001 - $250,000( Se e Columns C I a nd D 3) N = $250 , 001 - $500 , 000 O =$500,001 - $ 1,000,000 P I =$ 1, 00 0, 00 1 - $5 ,0 00 ,0 00 P 2 =$ 5, 00 0,0 01 - $2 5, 00 0, 00 0

P3 = $ 25 .000 ,001 - $ 50 ,000.000 P 4 = M ore than $ 50 ,000.0003. Val ue Met h od C odes Q = Appra i sa l R =Co s t ( Re a l Es t a le Only ) S =As s e s s me nt T = C a s h M a r k e t( S e e C o l u m n C 2 ) U = B o o k V a l u e V = O t h e r W =Es t ima te d

E =$15,001 - $50,000


15/19


Nam e of Person ReportingMoody, James M.


VIII. ADDITIONAL INFORMAT ION OR EXPLANATIONS. (~ndlcatepart of report.)Ke y T o 2 009 /201 0 I t e m # s :2 0 1 0 # 2 00 9 # C o m m e n tII22334456687 12 N a m e c o r r e c te d85 19 N R I n c r e a s e i n V a l u e10 911 10121113 714 N R I n c r e a s e in V a l u e15 13 H e a d e r c h a n g e d16 1417 New18 New19 New2 0 N e w2 1 N e w2 2 N e w2 3 N e w2 4 N e w2 5 N e w2 6 N e w2 7 N e w2 8 N e w2 9 N e w3 0 N e w31 1532 1633 1734 1835 1936 2037 2138 2539 N R I n c r e a s e i n V a l u e40 N R I n c r e a s e i n V a l u e41 26 H e a d e r c h a n g e d4 2 N e w4 3 N e w44 2745 2846 2947 3048 3249 3450 3551 3652 3753 3854 3955 4056 4157 4258 4359 4460 4561 4762 4863 49


16/19


Name of Person ReportingMoody, James M.


V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (lndicate part of report.)64 5 2 H e a d e r c h a n g e d65 14966 15167 15268 15469 1557 0 1 5771 5372 14873 557 4 567 5 577 6 N e w7 7 6 07 8 N R I n c r e a s e i n V a l u e79 6280 648 1 N e w8 2 N e w8 3 N e w84 6585 6786 6887 6988 7089 7190 N R I n c r e a s e in V a l u e91 7292 7393 7494 7595 7796 789 7 N e w9 8 N e w99 7910 0 8 0101 811 0 2 N e w103 8 5104 24 Sold Par t 2009105 8710 6 8 8 H e a d e r c h a n g e d10 7 N R I n c r e a s e in V a l u e108 89109 9011091111 92 H e a d e r c h a n g e d112 1 0 1113 93114 9 4115 9611698117 99118 1021 1 9 1 00 H e a d e r c h a n g e d120 103121 105122 1061 2 3 1 08 H e a d e r c h a n g e d124 109125 110126 Ill127 113128 116129 118130 New


17/19

FINANCIAL DISCLOSURE REPORTPa ge 17 of 19 Ia m e o f P er s o n R e p o r t i n gMoody, Jam es M. Date of R e p o r t05/09/2011

VIII. ADI)ITIONAL INFORMAT ION OR EX PLANATIONS. (ln~catepartofrepo~.)131 143132 1171 3 3 1 2 1 H e a d e r c h a n g e d134 122135 123136 124137 125138 126139 131140 132141 1331 4 2 1 3 4 H e a d e rc h a n g e d143 135144 New1 4 5 1 3 9 R e p o r t e d i n E r r o r146 141 N a m e c o r r e c te d147 N R I n c r e a s e in V a l u e148 N R I n c r e a s e in V a l u e1 4 9 N R B uy /S e ll1 50 N R B uy /S e ll1 51 N R B uy /S e l l1 52 N R B uy /S e l l1 53 N R B uy /S e l l1 54 N R B uy /S e l l1 55 N R B uy /S e ll1 56 N R B uy /S e l l1 57 N R B uy /S e ll1 58 N R B uy /S e ll1 59 N R B uy /S e l l1 6 0 N R B uy /S e l l1 6 1 N R B uy /S e ll1 6 2 N R B uy /S e ll1 6 3 N R B uy /S e ll1 6 4 N R B uy /S e ll1 6 5 N R B uy /S e l l1 6 6 N R B uy /S e ll1 6 7 N R B uy /S e l l1 6 8 N R B uy /S e l l1 6 9 N R B uy /S e ll1 7 0 N R B uy /S e ll1 7 1 N R B uy /S e l l5 Dele ted22 Sold 200923 Sold 20093 1 R e d e e m e d 2 0 0 93 3 R e d e e m e d 2 0 0 94 6 R e m o v e d h e a d e r5 0 Re p o r t e d i n E r r o r54 Sold 200958 Sold 200959 Sold 200961 Sold 20096 3 S o ld 2 00966 Sold 20097 6 D u p l ic a t e - re mo v e d82 Sold 200983 Sold 200984 Sold 200986 Sold 20099 5 R e d e e m e d 2 0 0 99 7 R e d e e m e d 2 0 0 910 4 S o l d 20 0 91 07 S o ld 2 009112 Repor ted in Er ror1 1 4 S o ld 2 009115 Repor ted in Er ror1 1 9 S o ld 2 009


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FINANCIAL DISCLO SURE REPORTPa ge 18 of 19

N a m e o f P e r s o n R e p o r t in gMoody, Jam es M.


V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (lndicate part of report.)1 2 0 S o ld 2 00912 7 R e d e e m e d 2 0 0 912 8 Re p o r t e d i n E r r o r12 9 R e d e e m e d 2 0 0 913 0 R e d e e m e d 2 0 0 913 6 R e d e e m e d 2 0 0 913 7 Re p o r t e d i n E r r o r13 8 R e d e e m e d 2 0 0 914 0 R e d e e m e d 2 0 0 914 2 D u p l i c a t e - r e mo v e d14 4 D u p l i c a t e - r e mo v e d1 4 5 D u p l i c a t e - r e mo v e d146 D u p l i c a t e - r e mo v e d147 D u p l i c a t e - r e mo v e d15 0 Re p o r t e d i n E r r o r153 D u p l i c a t e - r e mo v e d15 6 Re p o r t e d i n E r r o r

N R = N o t R e p o r t e d d u e to v a l u e b e lo w mi n .


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Na m e o f P e r so n Re p o r t i n gM o o d y , J a m e s M .

Da t e o f Re p o r t05/09/2011

I X . C ER T I F IC A T I O N .I c e r t if y t h a t a l l in f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i sa c c u r a te , t ru e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f, a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a tu t o r y

p r o v i s i o n s p e r m i t ti n g n o n - d i s c l o s u r e.I f u r th e r c e r 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 f 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 ro v i s i o n s o f 5 U . S . C . a p p . 501 e t . s e q . , 5 U . S . C . 7 3 53 , a n d Jud i c i a l C o n fe re n c e r e g u l a t i o n s .

Signa tu re: S/Jam es M. Moody

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I F IE S O R F A I L S T O FI L E T HI S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . 1 0 4 )

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

James M Moody Financial Disclosure Report for 2010

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Transcript of James M Moody Financial Disclosure Report for 2010