John A Woodcock Jr Financial Disclosure Report for 2010

8/3/2019 John A Woodcock Jr Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 20 10Report Required by the Ethics

in Government Act of 1978(5 U.S.C. app. 101-111)

1 . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r s t , m i d d l e i n i ti a l )Woodcock, John A.

4 . T i t l e ( A r t i c l e I 1 1 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 ;mag istrate judges indicate full- or part- t ime)U.S . Di s t r i c t J u dg e (Ac t iv e )

7 . C h a m b e r s o r O f f i ce A d d r e s s20 2 Har low St r ee tBangor , ME 04402-0756

2 . C o u r t o r O r g a n i z a t i o nM a i n e

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

5a . R e p o r t T y p e ( c h e c k a p p r o p r i a t e t y p e )] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. O n t h e b a s i s o f t h e i n fo r m a t i o n c o n t a i n e d i n t h i s R e p o r t a n d a n ym o d i f i c a t i o n s p e r t a i n i n g t h e r e t o , i t i s , i n m y o p i n i o n , i n c o m p l i a n c e

w i t h a p p l i c a b l e l a w s a n d r e g u l a t io n s .

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

6 . R e p o r t i n g P e r i o d01/01/2010

to12/31/2010

IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts,checking the NON E box for each part where you have no reportable informatiom Sign on last page.

I . P O S I T I O N S . (Reporting individual ouly; seepp. 9-13 of f i l ing instructions. )[~ N O N E (No reportable positions.)

POSITION1 . E m e r i t u s M e m b e r o f B o a r d o f T r u s te e s2. Mem ber Board of Vis i to r s3.4.5.

NAME OF ORGANIZATION/ENTITYB o w d o i n C o l l e g eUniver s i ty of Maine School of Law

I I . A G R E E M E N T S . ( R e p o r a n g individual ouly; seepp. 14-16 of f i l ing instructions. )~ (No reportable agreements .)ONE

DATE PARTIES AND TERM S


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FINANCIAL DISCLOSURE REPOR TPage 2 of 12

N a m e o f P e r s o n R e p o r t in gWoodcock, John A.

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

I I I . N O N - I N V E S T M E N T I N C O M E . ( R e p o r t in g i n d iv l d a a l a n d s p o a s e ; s e e p p . 1 7 - 2 4 of filing instructions.)A. Filers Non-Investment Incom eD (No reportable income.)O N E non-investment

DATE SOURCE AND TYPE INCOME( y o u r s , n o t s p o u s e s )1. 12/31/10 United Sta te s Judges Adm in Of f ice of the US Cour t s $168,171.372.3.4.

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - If you were marr ied dar in g an y por t ion of the reporting year, complete this section.(Dol lar amount not required except for hon oraria . )

N O N E (No reportable non-investment income.)DATE SOURCE AND TYPE

1 .2.3.4.

I V . R E I M B U R S E M E N T S - t ranspor t a t i on , l odg i ng , f ood , entertainmen~( Includes those to spouse and dependent chi ldren; see pp. 25-2 7 of f ! l ing instruct ions.)

~] N O N E (No reportable reimbursements.)

2.3.4.5.

SOURCE D A T E S LOCATION PURPOSE ITEMS PAID OR PROVIDED


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FINANCIAL DISCLOSURE REPORTP a g e 3 o f 1 2Nam e of Person Repor t ing

W o o d c o c k , J o h n A .Date of Repor t

05/09/2011

V . G I F T S . a n c l ~ d e s tho, e ,o spouse and dependent children; see pp. 28-31 of f!ling instructions.)N O N E ( N O reportable gifts.)

SOURCE DESCRIPTION1 .2.3.4.5.

VALUE

V I . L IA B I L I T I E S . a n c t ~ d e ~ t h o s e o l s p o u s e n n d dependent children; see p p . 3 2 - 3 3 of f!llng instructions.)[~] N O N E (N o reportable liabilit ies.)

C RE DITOR DESCRIPTION1 .2.3.

4.5.

V A L U E C O D E


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FINANCIAL DISCLOSURE REPORTPage 4 of 12

N a m e o f P e r s o n R e p o r t in gWoodcock, J o h n A .

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

V I I . I N V E S T M E N T S a n d T R U S T S - in c o m e , v a t u e , t r o ,~ a e t i o , ~ a n e t u d e s t h o s e o / s p o u s e ~,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 of filing instructions.)D NONE (No reportable income, assets, or transactions.)

2.

3.4.5.

6.7.8.

9.I0 .

1 2 .

1 3 .1 4 .

1 6 .

1 7 .

M e r c k C o m m o n S t oc k B Dividend K TC h i n d e x I n t e m a t i o n a l C o m m o n S t o c k N o n e J TB o e i n g C o m m o n S to c k A Dividend J TC i s c o C o m m o n S t o c k N o n e K TM e t L i f e C o m m o n S t oc k A Dividend J TW e l l s F a r go C o m m o n S t o ck A Dividend L TP o w e r s h a re s W i l d e r hi l l C l e a n E n e r gy N o n e J TPortfolioF r o n ti e r C o m m un i c a t io n s C o m m o n S t o c k B Dividend K TM i t s u i C o m m o n S t o c k - A D R s B Dividend K TApple , Inc . Common S tock N o n e K TMorgan S tan ley Bank Depos i t s (Com men t ) A Interes t N TA m e r i ca n M o v i l SA C o m m o n S t o ck A Dividend K T

Bu y K(addl)

E x x o n M o b i l C o m m o n S t o c kG e n e r a l E l e c t r ic C o m m o n S t o c kT h e G r o w t h F u n d o f A m e r i c aA m e r i c a n C a p i t a l In c o m e B u i l d e r( C o m m e n t )

B Dividend LA Dividend KA Dividend KB Dividend K

TTTT

2. Value Codes J =$15,000 0r l ass K - - $ 1 5 ; 0 ~ , t ~ $ 5 0 ; 0 0 0 : $ 2 5 0 ; ~ 3 0 ~(See Col ....CI and D3 ) N =$250 00i 2 $500~000 ~i $i ~00~06~ : P2 ~$5.000.001 ~ $931000,000

P3 =$25 000 b01 : $50.0b01000 : :3. Value Method Codes Q =Appra i s al R =0st (Re~l Esia~ oniy) T = C a s h M a r k e t(See Co l u mn C2) U = B o o k v a i ~ v = O t h e r ~ ~ E ~ i m a i e d : :


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

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; see pp. 34-60 of filing instructions.)D NONE(No repor table in c om e , asse ts, o r t ran sact ion s . )

1 8 .1 9 .

20 .21.22 .23 .24.25.26 .27 .28 .29 .30 .31 .32 .33 .34 .

Microsoft Common StockNorfolk Southern Com mon StockPepsico Common StockAmeritas Life Insurance CorpProcter & Gam ble Common Stock

A Dividend J

A Dividend KA Dividend J

None LA Dividend K

T

TTTT

Bangor Savings Bank Checking AccountASA (Berm uda) LTD Common StockHealth Care Service GroupFidelilty Trend FundNuveen Tax Adv Total Return StrategyF u n d

A I n t e r e s t JA Dividend JB Dividend KA Dividend KA Dividend J

TTTTT

CVS Common StockSunstone H otel Investors (REIT)

A Dividend KNone J

TT

1. I n c o m e G a i n C o d e s :~ S e e C o l u m n s B 1 a n d D 4 )2.Value Codes(See Columns CI and D3)

3. Value M ethod Codes(See Column C2)

A = $ 1 , 0 0 0 or less B =$1,001 - $2,500F =$50,001 - $100,000 t3 =$I00,001 - $1,0OO,000 ~J =$15.000 or less K =$15.001 - $50.000N = $250.001 - $ 500,000 O = $500.001 - $ t.000.000P3 =$25.000.001 - $50.000.000Q =App ra i s al R - ~ o s t (Real Estate Onl y )V =Other=Book Value

C =$2.501 - $5.000~ 1 1 =$1.000.001 - $5.000.~00L =$50.001 - $100.000PI =$1.000.001 - $ 5.000.000P4 =More than $50.000.000S = A s s e s s m e n tW =Estimated

=$5.001 - $15.000H2 = More lhan $5.000.000M =Sl00.001 - $250.000P2 =$5.000.001 - $25.000.000

= C a s h M a r k e t

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


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N a m e o f P e r s o n R e p o r t i n gWoodcock , John A.

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

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; see pp. 34-60 of filing instructions.)D NONE (N o reportable income, assets , or transactions.)

35 .36 .37 .38 .39 .40 .41 .42 .43 .44 .45 .46 .47 .48 .49 .50 .51 .

United Technologies Comm on Stock A Dividend K TAT&T Common Stock A Dividend K T

EuroPac Growth M utual Fund A Dividend J T

Legg M ason ClearBridge Appr eciationMu tutal Fund IRA A Dividend KLegg M ason Clearbridge Capital and EquitFund IRA (Comm ent) A Dividend K

Eagle Bu lk Shipping, Inc. Comm on StockAmerican Capital Ltd Comm on Stock

None J TNone J T

2. Value Codes J =$15,000 or le ss K =$15,001 - $50.000(See Columns CI and D 3) N =$250~001 - $500.000 0 =$500i001 - $!.000.000

P3 =$25,000.001 - $50.000~0003. Value Method Codes Q =Appra isa l R = Cos t (R ea l Es ta te O nly)(See Co l u mn C2) U =Book V a l u e V =Ot he r

C = $2.50| - $5,000 D = $5,00 l - $15 ,0~ ) E =$t5,001 - $50,000HI =$1.000.001 - $5,000,000 H2 =More than $5,000,000 ................L = $ 5 0 1 0 0 1 ! $ 1 0 0 , 0 0 0 ~ ~aO61~i : ....HI =$1,000100t - $ 5,000,000 P 2 = $ 5 ; 0 0 0 i 0 0 1 ~ $ 2 5 ; 0 0 0 ; 0 0 0P4 =More than $ 50.000,000S =Asse sSme n t T - ~ a s h M a r k e t :W =Es t i ma t e d


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N a m e o f P e r s o n R e p o r t in g D a t e o f R e p o r tW o o d c o c k , J o h n A . 05/09/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, va lu e, t ransact ions (Includes those of spouse and dependent children; see pp. 34-60 of Jding instructions.)D NONE income, assets , or transactions.)N o reportable

52 .53 .54 .55 .56 .57 .58 .59 .60 .61 .62 .63 .64 .65 .66 .67 .68 .

N o r t h rup G m m m a n C o m m o n St o c k A Dividend J T Sold 03/04/09 J( C o m m e n t )

M c D o n a l d s C o r p . C o m m o n S t o ck B Dividend K TI B M C o m m o n S to c k A Dividend K T

Jo h n so n & Jo h n so n Co mm o n S to c k A Div ide nd K T

A

: l i l ncdm~ G~i~ C~! A = $ 1 , 0 0 0 o r l e s s B = $ 1 ~ 0 0 1 - $ 2 , 5 0 0 C : S 2 , 5 0 i - $ 5 ; 0 0 0 O = $ 5 , 0 0 1 - $ 1 5 ; 0 0 0 E = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0(S ~ C0 1 umn sB l an d D 4 )F =$ 5 0 ~ 0 0 1 r$ 1 0 0 , 00 0 ~3=$ 0000 -$ 000000 : H l = $ i 0 0 0 0 0 1 r : $ 5 0 0 0 ,0 0 0 H 2 = M 0 r e th a n $ 5 0 0 0 , 0 0 0

2 . V a lu e C o d e s J = $ 1 5 ;00 0 o r le s s K = $ 15 ,0 0 1 - $ 5 0 ,0 0 0 L( S e e C o l u m n s C I a n d 0 3 ) N = $ 2 5 0 . 0 0 1 - $ 5 0 0 . 0 0 0 O ~ $ 5 0 0 1 0 0 1P 3 = $ 2 5 , o o o . o o l - $ 5 o . o o o , o o o3 . V a l u e M e t h o d C o d e s Q = A p p r a is a l R = C o s t ( R e a l E s t a te O n l y ) S--Asses~meni :: T ~ a s h M a r k et( 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 = E s t i m a t ed


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Name of Person Reporting I Date of ReporlWoodcock, John A.

I05/09/2011

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 , .e , v a l u e , , r a , ~ a c a o , ~ a . a .d c s those olspo.se . .d d e p e n d e . t children; se e p p . 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n s . )~ ] NONE(No reportable income, assets , or transactions.)

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

Stericycle Common Stock None K T

U S B a n c o r p C o m m o n S t o c k

J . P. M o r g a n C h a s e C o m m o n S t o ck

Z i m m e r H o l d i ng s C o m m o n S t oc k

A D i v i d e n d K T

A D i v i d e n d K T

N o n q J T

M etLife Life Insurance PoliciesIntel Corp Com mon Stock

A Dividend K TA Dividend K T

Ch evro n Co rp Co mmo n S to c k A Dividend K T

1. Incom e G a in Codes : A = ~ i i000 o r le s s : ~i 001 y $2.500 C =$2.501 - $5 000 D =$5,001 - $15,000 E =$15,001 - $50,000( S e ~ C o l u m n s B i a n d 0 4 ) H t = $ 1 . 0 0 0 . 0 0 1 - $ 5 , 0 0 0 , 0 0 0 .... H2 ~More than $5,000,000 . . . . . . . . . . . . . . . . . . . . . . .

2. Value Codes J =$15 . 000 o r l ~ s K--$15;001 ; $50,000 L =$50,00! : $!00,000 ~ ~!00i00! ~ [~50~000 :(SeeCol .....C I a n d O 3 ) N = $ 2 5 0 0 0 ~ $ 5 0 0 0 0 0 O--$56600 i . -$1 000000 Pi~$[ 000100i L$5p 3 =$ZLo00001-$SOi O00, O00 ! P4=M~r~th.n$50;O00~OO 0 :

3. Va lu e M e thod C ode s Q =App ra isa l R = Cos t (R e a l E s t a t e O n l y ) : S - - A S s e s s m e n t : T=C~h Market :: :(See Cohunn C2) U =Bo o k Va l ue ~ - -0 ther w =Estimated .... ;


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N a m e o f P e r s o n R e p o r t i n gWoodcock, John A.

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

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 , value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)~ ] NONE income , assets , or transactions.)N o reportable

86 .

87 .

88 .

89 .

90 .

91 .

92 .

93 .

94 .

95 .

96 .

97 .

98 .

99 .

100.

101.

102.

Co n o c o Ph i l l i p s Co mmo n S to c k A Dividend S o l d 10/07110 K E

1. Income Gain Codes:(See Co l u mns BI and 1 )4 )2.Value Codes(Se e C o l umn s C 1 a n d D 3)

3.Value Method Codes(See Co l u mn C2)

A =$~,000 or l ess B =$1.001 - $2.500 C =$2.501 - $5.0~0 D =$5.001 - $15.000F =$50.001 - $100.000 G = $100.001 - $1 .000.000 H1 =$I.000.001. $5.000.000 H2 =More than $5.000.000j =$15.000 or le s s K = $15.001 - $50,000 L =$50,001 - $!00,000 M =$t00.001 - $250,000N = $250.001 _ $500.000 O =$500.0~ 1 . $1 .000.000 pl =$1,000,001. $5.000.000 p2 =$5,000.001 - $ 25.000.000P3 =$25.000.001 - $50.000.000 P4 =More than $50,090,000Q =Ap pra i s al R =Cost (Real Esta te Only) S =Asse s sme n t T = C ~ h M a r k e !U =Bo o k Va l ue V =Ot he r W -Es t i ma t ed

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


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FINANCIAL DISCLOSURE REPORTPage 10of 12


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

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 , ~ a , ~ o c a o , ~ a n c l u d e s t h o s e o l s p o u s e a n d dependent children; see p p . 3 4 - 6 0 of filing instructions.)D N O N E ( No reportable inco me, assets, or transactions.)

103.104.

( s ee C o l u m n s B l : a n d D 4 ) : F=$ 5 0 ;OOI ~$ 1 OO;OOO: G=$ 1 0 0 ~O0 t ~$ 1 ;O0 0 ;O0 0 H i ~$ 1; 0 00 10 0 1 ~ $5 ,0 00 ,0 00 H 2 :- - M o r e t h an $ 5 ,0 0 0 ,0 0 02 . V a lu e C o d e s J = $ 1 5 ,0 0 0 or less 5100i ~ $56i~0 =SS0 i00 t ~ $ i001000 :

(See Col .... C 1 a n d D 3 ) N =$250,001 ~ $500,000 ..... O ~ $5 0 0 ; 0 0 1 2 $ ! i ~0 ; O 0 0 . . . . ~ $ 2 ~ ; 0 0 0 1 0 00P 3 = $2 5 , 0 0 0 . 0 0 1 ~ $ 5 0 , 0 0 0 . 0 0 0

3. Value Method Codes Q =AppraiSal R ~ost (Real Esta~ 0fily) : S ~ssmen/ T--@fi M a;ke t(See C o l u m n C 2 ) U =Book valu~ .... ~ ~0ther : W LEst imated


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N a m e o f P e r s o n R e p o r t in gWoodcock, John A .

Date of Rep6rt05/09/2011

V III. ADDITIONAL INFORM ATION OR EX PLANATIONS. andica,epa, oSreport.)

I tem 11 : M organ Stan ley Bank Dep os i t s becam e the r ec ip ien t o f s tock sa le s and d iv idends dur ing the yea r . Accord ingly , the t r ansac t ions a r e desc r ibed as at r ans f e r and, a s a num ber of t r ans f e r s wer e m ade as s tocks we r e so ld and d iv idends r ece ived , the da te of each t r ans f e r i s no t l i s t ed . The to ta l am ount of thet r ans f e r s i s r e f lec ted in the va lue code .I tem 17: Las t yea r s r epor t ind ica ted tha t a l l sha r es of Am er ican Capi ta l I ncom e Bui lde r Mu tua l Fund we r e so ld . This was incor r ec t . The r epor t should have l i s teda pa r t i a l , no t to ta l s a le . The r ema in ing hold ing in th i s Fund i s cor r ec t ly li s ted in I tem 17.I t e m 4 9 : L e gg M a s o n C a p i t a l a n d I n c o m e F un d i s n o w k n o w n a s L e gg M a s o n C l e a r B r id ge E q u i t y In c o m e B u i l d e r F un d .I tem 59 : Nor thrup Gru mm on s tock was so ld on March 4 , 2009 and the s a le was inadver ten t ly omi t ted f rom the 2009 r epor t . The in forma t ion on i t em 59 i saccur a te fo r the March 4 , 2009 sa le .


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FINANCIAL DISCLOSURE REPORTP a g e 1 2 o f 1 2

Nam e of Person Repor t ingW o o d c o c k , J o h n A .

Date of Repor t05/09/2011

IX . CERTIFICATION.I c e r t i f y th a t a l l i n f o r ma t i o n g i v en ab o v e ( i n c l u d in 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 an d m i n o r o r d ep en d en t c h i l d r en , i f an y ) i sa c c u r a t e , t r u e , an d c o mp l e t e t o th e b e s t o f m y k n o w l ed g e an d be l i e f , an d t h a t an y in f o r ma t i o n n o t r ep o r t ed w as w i t h h e l d b ec au s e i t me t ap p l i c ab l e s t a t u t o r yp r o v i s io 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 t h 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 ym 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 wh i c h h a v e b e e n r e p o r t e d a r e i ncom pl i ance w i th t he p rovi s ions o f 5 U.S.C. app . 501 e t . seq . , 5 U.S.C. 7353, and Jud ic i a l Conference r eg u l a t i ons .

Signature: S/John A. W oodcock

N O T E : A N Y I N D IV 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 SI F IE S O R F A I L S T O F I L E T H I S R E PO 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 SA N C T I O N S ( 5 U . S .C . a pp . 1 0 4 )

C o m m i tt e e o n F i n a n c ia l D i s c l o su r eA d m i n i s tr a t i v e O f f i c e o f t h e U n i t e d S t a te s C o u r t sS u i t e 2 - 3 0 1One Columbus Circle, N.E.Washington, D.C. 20544

John A Woodcock Jr Financial Disclosure Report for 2010

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Transcript of John A Woodcock Jr Financial Disclosure Report for 2010