Hicks Jr, S. Mauric · 2019. 7. 26. · Hicks, Jr., S. Maurice 4. Title (Article III judges indicate active or senior status; magisrate judges indicate ull- or part-time) U.S. District

________________ _____ _

POSITION

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A010 Rev. 112008

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2008

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

1. Person Reporting (last name, first, middle initial)

Hicks, Jr., S. Maurice

4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time)

U.S. District Judge -Active

7. Chambers or Office Address

U.S. Courthouse

2. Court or Organization

U.S. District Co., Western La.

Sa. Report Type (check appropriate type)

O Nomination, Date

O Initial [{] Annual

· . Sb. O Amended Report

O Final

8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations.

01/01/2008 to

12/31/2008

300 Fannin St. , Suite 510 I Shreveport, LA 71101

Reviewing Officer Date

IMPORTANT NOTES: The instructions accompanying this form must he followed. Complete al/parts, checking the NONE box for each part where you have no reportable information. Sign on last page.

I, POSIT! ONS. (Reporting individual only; see pp. 9-13 of filing instructions.)

D NONE (No reportable positions.)

NAME OF ORGANIZATION/ENTITY

I. Lecturer Centenary College of Louisiana

2. Board of Directors Member Children and Arthritis, Inc. (501(c) (3) orga _ation)

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions.)

[{] NONE (No reportable agreements.)

PARTIES AND TERMS

I.

2.

Hicks Jr, S. Maurice

SOURCE

LOCATION OR PROVIDED

4.

2.

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 2of14 Hicks, Jr., S. Maurice 08/25/2009

Ill. N 0 N-INVES TMENT IN CO ME. (Reporting individual and spouse; see pp. 17-14 of filing instructions.)

A. Filer's Non-Investment Income

D NONE (No reportable non-investment income.)

SOURCE AND TYPE (yours, not spouse's)

I. 2008 Centenary College of Louisiana - Teaching $2,500

INCOME

2.

3.

B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

D NONE (No reportable non-investment income.)

AND TYPE

I. 2008 Paraglegal services - self-employed

2.

3.

4.

IV. REIMBURSEMENTS - transportation, /odging,food, entertainment

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

[ZJ NONE (No reportable reimbursements.)

SOURCE DATES PURPOSE ITEMS PAID

3.

CREDITOR DESCRIPTION CODE

FINANCIAL DISCLOSURE REPORT

Page 3of14

Name of Person Reporting


Date of Report

0812512009

V. GIFTS. (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)

[Z] NONE (No reportable gifts.)

DESCRIPTION VALUESOURCE

3.

4.

5.

VI. LIABILITIES. (Includes those of spouse and dependent children; see pp. 32-33 of filing instructions.)

D NONE (No reportable liabilities.)

Mortgage - Rental Property #I, Ruston, LA

VALUE

I. Hibernia National Bank L

I I

I

I

I

Ac

Ac

lOUt pe ye<r

lOUt t pe yeir

out t he ye<r

l

5.

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.)

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

A. Description of Assets

(including trust assets)

B. Income during

reporting period

c. Gross value at end of

reporting period

D. Transactions during reporting period

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

(1) Amount Code 1 (A-H)

(2) Type (e.g., div., rent,

or int.)

(I) Value

Code 2

(J-P)

(2) Value

Method Code 3

(Q-W)

(I) Type (e.g., buy, sell,

redemption)

(2) Date

Month-Day

(3) (4) Value Gain

Code 2 Code I (J-P) (A-H)

(5) Identity of

buyer/seller

(if private transaction)

I. Capital One Bank Accounts D Interest M T

2. State Farm Life Insurance Co. Account None Transfers throug t

3. Northwestern Mutual Life Insurance Co. None Transfers througAccount

4. Timber Land, Lincoln Parish, Louisiana - 1 None K R 11196, $30,000

Capital One Bank Stock Common (formerly None Sold 06/30 J A Hibernia Nat'!)

6. Rental Property #1, Ruston, LA - 07/03/01, D Rent L R $75,427

7. IRA# 1 DGAGX Mutual Fund A Dividend 04/01 Jd' l Buy

Sell 06/24. K A

8. IRA # 1 FMAGX Mutual Fund B Dividend d 11 Buy 05105 J

Sell 06/24 K A

9. IRA # I Capital One Money Fund A Interest M T

10. Left intentionally blank None

11. VAC Federal Credit Union None Transfers throug

12. Barksdale Federal Credit Union A -Interest K T

13. Red River Syndicate LP A Jnt./Div. K u

14. IRA #I Martin Midstream Partners LTD A Dividend A d' l Buy 02/14 J Sell 10/24 J A

15. Janney, Montgomery Scott Brokerage Acco unt - Cash

A Interest J T

16. Left Intentionally blank None

17. IRA #I Encana Corp A Dividend Sold 10/29 K A

l. Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 c =$2,501 -$5,000 D=$5,001 -$15,000 E=$15,001 -S50,000

(See Columns BI and 04) F=S50,00I -$100,000 G =$100,001 -SI,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K=$15,001 -$50,000 L =$50,001 -$100,000 M =$ 100,00 I -$250,000

(See Columns CI and 03) N =$250,001 -$500,000 0=$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 - $25,000,000 P3 =$25,000,001 -$50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

(See Column C2) U =Book Value V=Other W=Estimated

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part 007:.

part

I

25.

29.



VII. INVESTMENTS and TRUSTS - income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.;


A. I Description of Assets I

I (including trust assets)

B.

Income during

reporting period

c.

Gross value ' at end of

reporting period

D.

Transactions during reporting period

Place "(X)" after each asset

exempt from prior disclosure

(I)

Amount Code I

(A-H)

(2) Type(e.g.,

div., rent,

or int.)

(I) Value

Code 2

(J-P)

(2) Value

Method

Code 3

(Q-W)

(!) -Type (e.g.,

buy, sell,

redemption)

(2) Date

Month-

Day

(3) Value

Code 2

(J-P)

(4) Gain

Code I

(A-H)

(5) Identity of

buyer/seller

(if private

transaction)

18. IRA #I Canadian Oil Sands B Divider.d 03/04 Jdd ! lBuy

Sell 10/24 J A

19. IRA #I XTO Energy A Dividend J T dd' lBuy 01/15 J art Sell 10/08 K E

20. IRA #I Valero Energy A Dividend dd I J.Buy 03/12 J Sell 10/24 K A

21. IRA #2 Conoco Phillips A Dividend dd 1 lBuy 06/02 J Sell 10/24 J A

22. IRA #I EnergySouth A Dividend dd 1 lBuy 01/02 J Sell 10/03 K D


24. IRA #I Entrada Networks None J T

26.

IRA #1 Globalnet None J T

Left intentionally blank None

27. Vkipox-30 index B Dividend J T Sold 06/04 J A (part)


30.

Cabelas A Sold 06/04 J A (part)

Dividend J T

Future Link Corp None J Was a ial se 1 in


32. WSR Energy Resources None Sold 06/30 J A

33. Giant Studios None J T Was a ial se 1 in 007.

34. IRA #2 Cpaital One Money Fund A Interest L T

I. Income Gain Codes: A =$1,000 or less 8=$1,001-$2,500 c=$2,501 - $5,000 0 =$5,001 -$15,000 E =$15,001 -S50,000

(See Columns BI and 04) F=$50,001 -$!00,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J=$15,000 or less K=$15,00 I - $50,000 L=$50,001 -$100,000 M =$100,001 -$250,000

(See Columns C l and 03) N=$250,001 -$500,000 0=$500,00 I -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,00 I - $25,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000


(See Column C2) U=Book Value V=Other W =Estimated

I I I

A d'lBuy

c. A. B. D. -- -·

Description of Assets Income during Gross value at end of Transactions during reporting period

(including trust assets) reporting period reporting period '

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

Place"(X)" after each asset Amount Type (e.g., Value Value Type(e.g., Date Value Gain dentity of

exempt from prior disclosuro Code 1 div., rent, Code2 Method buy, sell, Month - Code 2 Code1 buyer/seller (A-H)

I or int.) (J-P) Code3 redemption) Day (J-P) (A-H) (if private

(Q-W) transaction)


36. IRA #2 Canadian Oil Sands 140 A Dividend Sold 10/29 J c


38. Left intentionally lank None


40. IRA #2 Valero Energy 200 None Sold 01/18 J D




44. IRA #2 XTO Energy A Dividend 01/18 J Sell 01/22 K E




48. IRA #2 XTO Energy 100 None Sold 01/22 J A



51. IRA #1 XTO Energy 200 None Sold 01/22 J A

I. Income Gain Codes: A =$1,000 or less B =$1,00 I-$2,500 C =$2,501 -$5,000 0 =$5,001 -$15,000 E =$15,001 - $50,000

(See Columns BI and 04) F=$50,001 -$100,000 G =$100,001 -$1,000,000 HI =$1,000,001-S5,000,000 H2 =More than S5,000,000

2. Value Codes J=$15,000 or less K=SIS,001-$50,000 L=$50,00 I -$100,000 M =$100,00 I-$250,000

(See Columns Cl and 03) N=$250,001 -$500,000 0=$500,001-$1,000,000 Pl =$1,000,001 -S5,000,000 P2 =$5,000,001 -$25,000,000

P3 =S25,000,00I -$50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q=Appraisal R =Cost (Real Estate Only) S=Assessment T=Cash Market

(See Column C2) U=Book Value V=Other W =Estimated


Page 6of14



Date of Report

08/25/2009

VII. INVESTMENTS and TRUSTS - income, vatue, transactions r1nc111des those of spouse and dependent children; see PP· 34-60 of filing instructions.)

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

i

!

I !

-·

p

I i

57.

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS income, value, transactions r1nc1udes those of spouse and dependent children; see PP· 14-60 of filing instructions.) -


I A.

Description of Assets

! (including trust assets) II

I Place "(X)" after each asset


B. c. D.

Income during Gross value at end of Transactions during reporting period

reporting period reporting period

(I) (2) (I) (2) (I) (2) (3) (4) (5) Amount Code 1

Type (e.g.,

div., rent,

Vaiue

Code 2

Value

Method

Type (e.g.,

buy, sell,

Date ValueIMonth - Code 2

Gain

Code I Identity of

buyer/seller (A-H) or int.) (J-P) Code3 redemption) Day (J-P) (A-H) (if private

(Q-W) transac:llon)




55. IRA #1 Petro Hawk 350 None Sold 10/29 J c


Left intentionally blank None


59. IRA #1 Canadian Oil Sands 150 None Sold 01122 J A




63. Sumamerica focused alpha Lrg .•

-A Dividend J· T A d 11 Buy rt Sell

03127 06/04

J J A




67. Van Kampen Unit Trust 519 None Sold 06130 J A

68. Van Kampen Unit Trust 520 None Sold 06/30 J A

I . Income Gain Codes: A =$ l ,000 or less B =$1,001 -$2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000

(See Columns B l and D4) F =$50,001 • $100,000 G =$100,001 -$1,000,000 HI =S 1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15 .ooo or less K =$15,001 -$50,000 L =$50,001 -$100,000 M =$100,001 -$250,000

(See Columns Cl and 03) N =$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 • $5,000,000 P2 =$5,000,001 -$25,000,000

P3 =$25,000,001 -$50,000,000 P4 =More than $50,000,000


(See Column C2) U =Book Value V=Other W =Estimated

I I

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I ,.

I

A d

ld'

I


Page 8of14



Date of Report

08/25/2009

VII. INVESTMENTS and TRUSTS - income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.;


A. Description of Assets


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

69'."' · Biosante Pharmaceutical

70. FT Global Infran

71. FT Greater Asia

72. Kinetics Paradigm

73. NYSE Group Inc

74. VK Argus Tmamd

75. The Sequoia Fund

76. Canadian Solar

77. Chesepeake Energy

78. Conanhia Vale Do Rio Doce

79. Denbury Resources

80. JA Solar Holdings

81. Left intentionally blank

82. Peerless Manufacturing

83. Petrohawk Energy



B. c. Income during Gross valu; __at end of

reporting period reporting period

(I) (2) (I) Amount Type (e.g., Value Code 1 div., rent, Code 2 (A-H) or int.) (J-P)

None J

A Dividend J

A Dividend 1

A Distribution J

A Dividend J

A Dividend J

None

None

A Dividend

None

None

None

None

None

None

None

None

(2) (I) Value Type {e.g.,

Method buy, sell, Code3 (Q-W)

T

T

T

T

T

T

redemption)

dd I )Buy art ·Sell

dd 11Buy art Sell

dd 1 lBuy art Sell

Sold

Sold

A d' l Buy Sell

Sold

A d'lBuy Sell

11Buy Sell

Sold

A lBuy Sell

D. Transactions during reporting period

{2) {3) {4) {5) Date Value Gain Identity of

Month- Code 2 Code I buyer/seller Day (J-P) (A-H) (if private

transaction)

02/29 J 07/02 J A

04/30 1 07/02 J A

01/10 J 06/04 K A

06130 J A

07/01 J A

02/11 J 10/06 J A

01102 J A

01/07 J 06/11 J A

01/22 J 06/10 J A

01/16 J A

06/11 J 10/06 J A

I I I

I. Income Gain Codes: A =$1,000 or less B =$1,00 I -$2,500 C =$2,501 -S5,000 D =S5,00I - $15,000 E =S15,00I -$50,000

(See Columns BI and 04) F =$50,001 -$100,000 G =$100,001 -$1,000,000 HI =$1,000,001-$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 -$50,000 L =$50,00 I -$I 00,000 M =SI00,001 -$250,000

(See Columns Cl and 03) N =$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,00 I - $25,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000

R =Cost (Real Estate Only) S =Assessment T =Cash Market

V =Other W =Estimated

3. Value Method Codes Q =Appraisal

(See Column C2) U =Book Value

I i

I

I

A(

C:oll

C:ol l

A1Rd'

06/10 B

10/24

10/24

07/01

K E



VII. INVESTMENTS and TRUSTS - income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.J


A.



II Place "(X)" after each asset

I exempt from prior disclosure

86. SunPower

87. IRA #I BHP Limited


89. IRA #2 Cypress Semiconductor

90. IRA #2 International Power PLC


92. IRA #I Dodge and Cox Int'! Stock Fd

93. IRA #I Denbury Resources

94. IRA #I NYSE Euronext

95. IRA #I Reliant Energy

96. IRA #I Street Tracks Gold Trust

97. IRA#! Genesis Energy LP

98. IRA #2 Cia Vale Do Rio Doce

99. IRA #2 Cree

100. IRA #2 Denbury Resources

101. IRA #2 Sunpower

102. IRA #2 Encana

B. Income during

reporting period

(I) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.)

None

A Dividend

None

None

A Dividend

None

A Dividend

None

A Dividend

None

None

A Dividend

A Dividend

None

None

None

A Dividend

c. Gross value at end of

reporting period

(I)

Value

Code 2

(J-P)

J

(2) (I)

Value Type (e.g.,

Method buy, sell,

Code3 redemption)

(Q-W)

d' 1 Buy

Sell

Sold

A d 11 Buy

Sold

T dd 1 lBuy

Sold

Sold

Sold

Sold

A d 11 Buy

Sold

Sold

Sold

A d 11 Buy

Sell

1 Buy

Sell

D.


(2) (3) (4) (5) Date Value Gain Identity of

Month- Code2 Code I buyer/seller

Day (J-P) (A-H) (if private

transaction)

02/11 J

J

10/29 J A

09/29 J

J A 10/24 J A

01/02 J

08/13 J A

10/29 J A

01/03 J

10/24 J A

02/14 J

J A 10/29 J A

07128 J A

08/!3 J A

02119 J

J A 05/13 J

07/17

I I

I. Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 C =$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000

(See Columns B 1 and D4) F=$50,001 -$100,000 G =$100,001 -$1,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000,000

2. Value Codes J=$15 ,000 or less K=Sl5,001-$50,000 L =$50,001 -$100,000 M =$100,001 -$250,000

(See Columns Cl and D3) N=$250,001 - $500,000 0=$500,001 - $1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S=Assessment T=Cash Market

U=Book Value V=Other W=Estimated(See Column C2)

I I

I "

I

06/2,



VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children; see pp. 14-60 of filing instructions.)


A.


(including trust assets)

B.

Income during

reporting period

C.

Gross value at end of

reporting period

D.


------i

I Place "{X)" after each asset


(l) Amount Code I

(A-H)

(2) Type (e.g.,

div., rent,

or int.)

(I) Value

Code 2 (J-P)

(2) Value

Method

Code 3

(Q-W)

(I) Type (e .g.,

buy, sell,

redemption)

(2) Date

Month -

Day

(3)

Value

Code 2 (J-P)

(4) Gain

Code I

(A-H)

(5) Identity of

buyer/seller

I(if private

transaction)

I 03. IRA #2 Petrohawk Energy None Sold 07/28 J c

104. · McDermott Int'! None Sold 01/07 J A

105. canadian solar None Sold 01116 J c

I 06. ALJ Regional Holdings None Sold 06/30 J A

I 07. Ditech Networks None Sold 06/30 J A

108. Morgan Keegan cash A lnt./Div. J T

109. Encana Corp A Dividend J T Buy 07/30 J

110. XTO Energy A Dividend J T Buy 07/25 J

I 11. A Power Energy Gen Sys None Buy 06117 J Sell J A

I 12. BPZ Resources Inc. None Buy 06/16 J

Sell 06/27 J A

I 13. Cubic Energy Inc None J T Buy 08/11 J

I 14. McMoran Exploration None Buy 06104 J Sell 06/16 J A

I I 5. Microsoft Corp None Buy 06104 J Sell 06/17 J A

I 16. Superior Energy Svcs Inc None Buy

Sell

06104

06/16 J

J A

117. IRA #3-Terra Nitrogen Co LP A Dividend J T Buy 02129 J

118. GMX Resources Inc None Buy 07/07 J

Sell 10/29 J A

119. IRA #I Deltic Timber Corp A Dividend Buy 07/01 J

Sell 10/24 J A

l. Income Gain Codes: A =$1,000 or less B =$10001 • $2,500 c =$2.501 -$5,000 D =$5,001 • $15,000 E =$15,001 -$50.000

(See Columns B1 and D4) F =$50,001 -$ l 000000 G =s 1oo.oo1 • s 1.000.000 HI =$1,000,001 -$5,000.000 H2 =More than $5,000,000

2. Value Codes J =$15 .ooo or less K =$15,001 -$50,000 L =$50,001 -$100,000 M =$100,001 -$250,000

(See Columns Cl and D3) N =$250,001 -$500,000 0 =$500,001 • $1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,00 I -$25,000,000 P3=$25,000,001 • $50,000,000 P4 =More than $50,000,000


(See Column C2) U =Book Value V =Other W =Estimated

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Page 11 of 14



Date of Report

08/25/2009

VII. INVESTMENTS and TRUSTS income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instrucnons.J -


A. B. c. D. -· Description of Assets Income during Gross value at end of Transactions during reporting period

I (including trust assets) reporting period reporting period I (1) (2) (1) (2) (!) (2) (3) (4) (5)

Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private

L=.:_ (Q-W) transaction)

120. IRA #I Penn West Energy A Dividend Buy 07/01 J

Sell 10/24 J A

121. IRA #2 PMFG Inc None Buy 01/08 J

Sell 10/24 J A

122. IRA #2 JA Solar Hldg Co Ltd None Buy 02/!9 J Sell 07/01 J A

123. IRA #2 Terra Nitrogen Co LP A Dividend Buy 02/29 J

Sell 10/24 J A

124. IRA #2 Atlas Energy Resources, LLC A Dividend Buy 04/14 J

Sell 10/24 J A

125. IRA #2 GMX Resources Inc None Buy 07/02 K

Sell 10/24 K A

126. IRA #2 UltraShort Russell-1000 Growth None Buy 10/07 J

Sell 10/08 J A

127. IRA #2 Short QQQ Proshares None Buy 10/09 K

Sell 10/1 K A

128. IRA #2 UltraShort Midcap None Buy 10/10 K Sell 10/14 J A

129. Atlas Energy None Buy 04/14 J

Sell 04/18 J A

130. Brigham Exp! Co None Buy 06/11 J Sell 07/01 J A

131. Encore Acquisition Co None Buy 04/18 J Sell 06/27 J c

132. Enterra Energy Corp None Buy 05/08 J Sell 06/27 J A

133. Goodrich Pete Corp None Buy 06/27 K Sell 10/06 J A

134. Gran Tierra Energy Inc None Buy 06/10 J Sell 07/29 J A

135. Mannatech Inc A Dividend Buy 02126 J Sell 04/10 J A

136. Particle Drill None Buy 08/21 J Sell 10/06 J A

I. Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 c =$2,501 - $5,000 D =S5,001 -$15,000 E =$ 1 5,001 -S50,000

(See Columns Bl and 04) F =$50,001 - $100,000 G =$100,00 l - S 1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J .::$ J 5,000 or less K=$15,001 -$50,000 L=SS0,001 -$100,000 M =$100,00 l - $250,000

(See Columns CI and 03) N =$250,001 -$500,000 0=$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 - $25,000,000

P3=$25,000,001 -$50,000,000 P4=More than $50,000,000 3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T=Cash Market

(See Column C2) U =Book Value V=Other W=Estimated

--

J

nade .. oughc ut

I d prior

i

I


Page 12of14



Date of Report

08/25/2009

VII. INVESTMENTS and TRUSTS -income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.)


A. B. c. D. Description of Assets

. . Income during Gross value at end of Transactions during reporting period

(including trust assets) reporting period reporting period

(I) (2) (!) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, Month - Code 2 Code 1 - buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private

(Q-W) transaction)

137. Penn Virginia Corp None Buy 06/27 J

Sell 10/06 J A

138. XTO Energy Inc A Dividend Buy 2/26 J Sell 06/27 A

139. Scottrade Cash Acct. A Interest K T Transfers th th year.

140. Chesapeake Energy-Janney Acct. A Dividend J T Buy 07125 J

141. Petrohawk Energy- Janney Acct. None J T Buy 06116 K art Sell 07/16 J B

142. Biosante Pharmaceutical-Scottrade None Buy 06/11 J

Sell 06/27 J A

143. Denbury Resources- MK None Buy 01/07 J

Sell 10/29 J A

144. IRA #2- RR! Energy None Sold 01/03 J A

Pure has to 008.

145. IRA #2- Encore Acquisition Co None Buy 05108 J

Sell 10/24 J A

I . Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =S15,00I -S50,000

(See Columns BI and 04) F =$50,001 -$!00,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or Jess K =$15,001 -$50,000 L =$50,001 -$!00,000 M =$100,00 I -$250,000

(See Columns Cl and 03) N =$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 -$50,000,000 P4 =More than $50,000,000


(See Column C2) U =Book Value V =Other W =Estimated


Page 13of14



Date of Report

0812512009

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicate partofReport.)


Page 14of14

Name of Person Reporting Date of Report

Hicks, Jr., S. Maurice 08/25/2009

IX. CERTIFICATION.

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 because it met applicable statutory provisions permitting 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 of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS 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:

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544

Documents

Hicks Jr, S. Mauric · 2019. 7. 26. · Hicks, Jr., S. Maurice 4. Title (Article III judges indicate active or senior status; magisrate judges indicate ull- or part-time) U.S. District