James S Moody Jr Financial Disclosure Report for 2009

8/3/2019 James S Moody Jr Financial Disclosure Report for 2009

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ao w I FI N A N C IA L D I SC L OS U R E R E POR TI in Government Act of 1978R e v . t / 2 0 1 0 FOR CALENDAR YEA R 2009 ( 5 u . s . c .1. Pe~,~on Reporting (last name, first, middle initial) ...... 12. Court Or O rganization 3. Date nf ReportMOODY, JR., JAMES S. U.S. DISTRICT COURT MIDDLE DISTRICT FL 04/29/20t 0

4. Title (Article 111 judges indicate active or senior status; : 5a. Report Type (ch eck appropriate type) 6. Reporting Periodmagistrate judges indicate full- or part-time)[] Nomination, Date 01/01/2009U,S. D1STRICTCOURT.IUDGE(ACTIVE) [] Initial [] Annual [] Final to12/3 !~20095b, [] Amended Report

7. Chambers or Office Address 8. On the besis of the information contained in this Report and anymodifications pertaining thereto~ it is, in my opinion, in com plianceU.S. DISTRICT COURT with applicable laws aud regulations.80! NORTH FLORIDA AVE #13ATAMPA, FL 33602 Reviewing Officer Date

I M P O R T A N T N O T E S : Tl~e instructions accampanying this form must be followed. Complete all parts,checking the NONE box for each part where you have no reportable it~ormaffog Sign on l~t page.

I. POSITIONS. m,~o,,i,~~ N O N E (No reportable posiHons.)

POSI~ON NAME OF ORGANI~TION~NT]TY1. TRUSTEE ~ TRUST2. DIRECTOR ~IVERSITY OF ~ORIDA LAW SCHOOL ADVISORY BOARD3. ~~

r~.;~: . ~ ~ )

(3I 1 . A G R E E M E N T S . (Reporting inaividqal only; see pp. 14-16 of f!ling imttnctions.)N O N E (No reportable agreements.)

PARTIES A~ T~RM SI.


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Page 2 of 46 MOODY , Ja. , ,IAMES S. 04/29/2010

A. Fliers Non-Investment IncomeN O N E (No reportable non-investment incomeO

DATE SO~CE AND T~E (yours, not s~uses)I.2.3.4.

B. Spollse*s N o n - I n v e s tm e n t I n c o m e - If you were married during any portion of the repartit;g year, complete this(Dollttr .mount twl rquired ex{eptJbr~ N ONE (No reportable non-investment income.)

~ SO~CE A~1; 2009 HUM AN~ CO M P BE NE gl T S. ~ C. - SALARY

2.3.

4.

I V . R E I M B U R S E M E N T S - ,r u . sp o r , ~ ,i o ,, , to~gl*g, youd,(lnclndes those to spouse oral dependent children," see pp. 25-27 oJfiling

N O N E (No reportable reimbursemencs.)~ ~ LOCATION P~POSE I T E M S P A I D O R P R O V I D E D

1.2.3 .4.5.


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F I NANCI AL DI S CL O S URE RE P O RT i I Name of Person Reporting I Date of Report Page 3 of46

[ b l O O D Y , J R . , J A M E S S . [04/29 /2610

V , G I F T S , (Inert,des t t~os~ t~ s~o~. and depend e~ children; seepp. 28-31 of j i ling instrnct ians.)~ N O N E (No reportab& gif ts.)

DESCRIPTION~ . ~z~sazv o~w~s~rv o~. ~.~r~ r~ s ~ . ~ 0 0 . ~

LTD.

2.

3.4.

5.

~ N O N E (No reportable liabilities.)C R ED IT O R D ESC R IPT IO N yALUE CODE

1.2.3.4.

5.


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F I NANCI AL DI S CL O S URE RE P O RT r ~ n , ~ o f P e r s o n R e p o r t i n g ] Date of ReportPage4of46 r, looov, ., Ao ss,I

V I I . ~ V E S T M E N T S a n d T R U S T S - ~ . ~ 0 . . , ~ . ~ , , ., , . . . . . , ~ o . . ( I n c l u d e s t h o s e ol spou~ a n d de~enae.~ ehilarent see p p . 3 4 - 6 0 o f l ~ t in g~ N O N E (No reportable income, assets, or transactions.)...... ~ . ~ ~. ~ c. ~ . . . . . . . . . . . . . ~ ..................................

D e s c r i p t i o u 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 lu 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 c p o ~ i n g p e r i o d(including trust as~s) [ repoaing peri~ ~ aligning periodP l a c e " ( X ) " a f t e r e a c h ~ s e t ~ A m o u n t Ty~ (e,g., V alue V alue T y p e ( e . g . , ] Da~e V alue G ain I d e n t i ~ 0 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 1 d i v . , r e u t , C o d e 2 M et h o d b u y . s e l l , : m~d~yy :. Code 2 C o d e I b u y c r t s e l l ~ r,~ , , ( A - H ) orinl.) ( J - P ) C o d e 3 r e d e m pt i o n ) I ( J - P ) ( A - H ) ( i f p r i v a t e~ ( Q - W ) ~ t r a n s a c t i o n )I. S~TRUST CASH ACCOSTS

2. -- Individual Checking A Int./Div. J T3, -- Mclntosh Road A lnt./Div. J T4. -- Checking A lnt./Div. J T5. -- Savings A Int./Div. J T

! 6 , -- Individual A lnt./Div. J T7. M ERRI LL LYNCH CASH ACCOUNTS

8. -- Bilmar A lnt./Div. J T9, -- Individual #I~ A Int./Div. J T!0. -- Individual #2~ A InL/Div. J Tl 1 . -- Individual #3~ A Int./Div. J T1 2. --~Trust #1 A lnt./Div. J T1 3. --~ Trust #2 A IntJDiv. J T1 4 . -~Y & M A lnt./Div. J T1 5 . --~Condo A lnt./Div. J T1 6 . MERRILL LYNCH R.EqIREMENT ACCT B lnt./Div. M T

1 7 . -- Bank of America Bu y 02/10/09 J! (add l )


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F I N A N C I A L D I S C L O S U R E R E P O R T r ~ m e o f P e r s o n R e p o r t i n g ] Dat, of ReportPage 5 of 46 M o o D Y , J R ., J A M E S S .

-" I0 4 / 2 9 1 2 0 1 0

N O N E (No r~ortable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s In,me daring 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 ~ 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 t s ) rcpo~ing ~riod of re,Sing peri~ .[ .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 alue T~e (e.g., ~ Dine ~ Va lue G a i n IdentiW ofe x e m p t f r o m p r i o r d i s n s u r e ~ C o d e I ~ d i ~ , , ~ n t , C o d e 2 M et h o d b u y , s e l l , ~m~d~ ~ C~ 2 C o d e 1 b u y e r / s c l l e r~ { A - H ) ~ l 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 ) ( i f p r i v a t e: [ ( Q - W ) [ [ ~ t r a n s a c t i o n )

1 8 . -- BB& TCorporation B uy 1 & 2 0 1 0 9 J

1 9 . -- SunTrust Banks Buy 2/10/09 J(addl)2 0 . Sold 8/19/09 J(part)2 1 . -- Regions Financial Bu y 2/10/09 J(addq)2 2 . -- WashingtonMut~tal

2 3 . -- Wells Fargo & Co

2 4 . -- American StYmll Cap WId

2 5 . -- American Growth Fund

2 6 . -- STI (Sell Call Options) Sold 9/18/09 J2 7 . Closed 1 0 1 1 9 / 0 9 J C

2 8 . Sold 7/1/09 J2 9 . Closed 8 1 2 1 / 0 9 J

3 0 . Sold 6/22/09 J3 1 . Closed 8/21/09 J3 2 . Sold 6/22/093 3 . Closed 8/21/093 4 . Sold 4/17/09 J

I n c o m e G a i n C o ~ l e s : A ~ $ 1 ,0 0 0 o r l e s s L ~ ~ $ 1 ,0 0 1 - $ 2 ,5 ~ C = 5 2 , 5 0 1 - $ 5 , 0 0 0 . D


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F I NANCI AL D I S C L OS U R E R E POR T] MOODY, JR . , JAMES S.age 6 of 46 0 4 / 2 9 / 2 0 1 0

VI I . I NVE S T M E NT S an d T RUS T S - i .N O N E (No reportable income, a ssets, or transactions.)

i A . B. C. -- ......................... 1~i ............................. :D e s c r i p r 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 l u e a t c a d T r a n s a 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

i ( i n c l u d i n g t r L ~ 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 c p o a i n g p e r i o d[ P l a c e * ( X ) " a f t e r e a c h a s s e t A m ou nt T yp e (e .g . , Value [ Value T y p e { . e . g . , Date ! Value i Gain I d c a t i t y o f[ C o d e I d i v . , r e n t , C o d e 2 i M e t h o d b u y , s e l l , i m m ld d , y y i C o d e 2 ! C o de I b u y er / s e l l e rc x e m p l f r o m p r i o r d i s c l o s u r e

! i (A - H ) o r i n t . ) ( . I -P) i C o d e 3 r e d e m p t i o n ) il I J - P ) ~ ( A - H ) { i f p r i u ~ t ei .L_ .[ ( Q - W ) i [ t r a n s a c l i o n )3 5 . Closed 5 / 1 8 1 0 9 J C3 6 . Sold 4/17/09 J3 7 . Closed 5/18/09 J B3 8 , Sold 3/23/09 J

3 9 , Closed 4 / 1 7 1 0 9 J4 0 . Sold 3/23/09 J4 I. Closed 4/17/09 J42. Sold 2 1 2 6 / 0 9 J4 3 , Closed 3/23/09 J B

i " 4 4 . Sold I/5/09 J4 5 . Closed 1 / 2 1 / 0 9 J B

" ~ . C ~ o s e d ~/~/09J ~4 7 . -- BAC. (Sell Call Options) Sold 9/18/09 J4 8 , Closed I 0 ] 1 6 / 0 9 J A

4 9 Sold 5/15/09 J5 0 . Closed 6/19/09 J

5 1 . Sold 4/17!09 J


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FI N A ~ N C I A L D I S C LOS U R E R EPOR TI ~ ~ - e , , , .s o ~ a ~ p o , - ~ i n g . . . .age 7 of 46 MOODY, JR.,JAMES S. 0 4 / 2 9 / 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 - ~ o ~ , . ~,,.~,,,,~,.#o,~a~a,~,~t~,o~.~o~,,.,+,,~a~,,a~,~,~#a,~:N O N E ~ o reportable income, assets, or transactions.)

A . B. C.D e s c r i p t i o n o f A s s c ~ I n c o m e d u r i n g G r o s s v f l u e a t e n d Transactions during ~ing period0 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 J ofrc~ingperi~P l a e e ~ ( X ) " a ~ c r e a c h ~ s s e l A m o m ~ t T y p e ( e . g ,, Value Value T y p e ( e . g ,, D ~ t c ~ V a l u e ~ G ~ m ~ I d e n u t y o f

" I A - H ) o r i n L ) ( J - P ) C~ 3 r e d e m p t i o n ) ] (J-P) ~ (A-H) I ( i f p r i v a t e

$ 2 . Closed 5/15/09 J A5 3 . Sold 3~3109 J54 . C}osed 4117t09 J

5 5 . BANK OF AM ERI CA A Int.lDiv. M T Bu y 1 1 3 0 1 0 9 J(add l )5 6 . Sold 11/23/09 K D( p a r t )5 7 . AT&T INC A lnt./Div, K T Bu y 9 / 2 2 / 0 9 K5 8 . Bu y 6/23/09 K5 9 . Sold 9/21/09 K C

6 0 . BB&T CORPORATION A lnt,/Div, K T Bu y 7/7/09 K(addt)61. Buy 1/23109 K

6 2 . B uy 7 il/09 K(addl)6 3 . Sold 8 / 2 4 t 0 9 K D(part)6 4 , REGIONS FINANCIAL A I n t . / D i v , J T Bu y 7/21/09 J(addl)

6 5 . Bu y 1 0 / 5 / 0 9 J(addl)6 6 . S UNTRUST BANKS A Int./Div. L T Bu y 2/13/09 J(addl)

! 6 7 , B uy 1 0 / 2 0 / 0 9 K1 (addl)6 8 , Bu y 1 1 3 0 / 0 9 J(addl)


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FI N A N C I A L D I SC L OS U R E R E PO R T N~m~ o f Person Reporting Da,e of ReportPage 8 of 46 M O O D Y , J R . , J A M E S S . 0 4 / 2 9 / 2 0 1 0

~ N O N E (No reportable income, assets, or transactions.)Description of Asse~ ~ ]n~ome d~ing G ross value at end T ransactions daring reposing period-

{ i n c l u d i n g t ~ t a s s e t s ) ~ r e p o s i n g p e r i o d o f r e p o r t i n gt o ) ( 2 ) ( o (2) ( o ~ ( ~ )Placc"{X)"aRereach~set ~Amount ~ Typc(c.g., V a l u e Value Ty~(e.g., ] Date ~ Value Gain Idcmityofe x e m p t i ~ o m p r i o r d i s c l ~ u r e C~e l div., mat, C o d e 2 Me~od b u y , s e l L ) m ~ d ~ y y C ~ .[ C ~ c I b u y e r ! s e l l e r) (A-H) i or jar.) ( J - P ) Code 3 r e d e m p t i o n ) [ (J-P) ( A -H) { i f p r i v a t e(Q-W) : : transaction)

6 9 . Sold l 1 / 2 3 / 0 9( p ~ )7 0 . WELLS FARGO & CO A t a t . I D l y . L T Buy 6117/09 K

( a d d i )7 1 . B u y 12/ I I1 0 9 K

( a d d I )7 2 , ~B&T (SELL CALL OPTIONS), So l d 9118109 J

7 3 . C l o se d 1~I109 J C~74. So l d 7128/09

7 5 . Cl os e d 9/18i09

~ 7 6 . Sold 4 /17/09 J

7 7 . Clo se d 6/ 19/ 09 J C7 8 . Sotd 3 ~ 3 / 0 9

7 9 . C l o se d 4 ~ I ) 1 0 9

8 0 . Sold 2/26/09g I . C l o s~ d 3 /2M09 l B8 2. SVl (SEL~ CALL oPTioNS) Sold 11/23/09~3. Closed 12/21/09 J B8 4. Sold 10/7109 J8 5. C M s ed 11123109 J B

I. Incom Gain Cudes: A = $ I ,t l00 or less B = S1,001 - $ 2,5~ C = $ 2,501 - $ 5,0~ D =S5.~) I - g 15.0~} E =S 15 J~) I - S 5(L0~


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Page 9 of 46 MOOOY, JR., J AME S S . 0 4 / 2 9 / 2 0 1 0V I l . I N V E S T M E N T S a n d T R U S T S - ~ . c o , . e , v d u e ~ r a n s m : t i ~ n s ( I n ~ h ~ d e s h ~ s e ~ f ~ u s e ~ " d d e p e n d e n t c h ~ d ~ n ~ s e ~ p ~ 3 4 ~ f ~ n g ~ n s ~ r u c t ~ )---] ~ O N E (No reportable income, a ssets, or transactions.)

D c ~ r i p t i o n o f A s ~ t s ~ ] n c o ~ d u r i n g ~ G r o s s v a l u e a ~ c ~ T ~ s a c t i o n s d u r i n g r e p o s i n g( i n c l u d i n g t ~ s t ~ s c t s ) j tc~ing period ~ o f r e p o a i n g p e r i o dPlace "(X)" after each as~c~A m o u n t ~ T y ~ ( c . g . , V a l u e V a l u e Type ~c.g.,D a t e ~ V ~ l u ~ ~ G a i ne x e m p t f r o m p ~ i o ~ d i s c l o s u r e [ C o d e I ~ d i v . , ~ n ~ C~ 2 Mc~ buy, ~ll,m ~ d ~ y y ~ C o d e 2 [ C o d e I ~ baker/seller

I ~ A - H ) ~ or int.)(J-P) C o d e 3 r e d e m p t i o n ) O P ) ( A - H ) ~[fpriva{c] ( Q - W ) ~ ~ ~ t r a n s a c t i o n )

~ 8 7 . " C l o s e d 10/19109 J C~ 8 8 . S o l d 8 ~ I I 0 9

g g . C l o s e d 9 / 1 8 / 0 9~" S o l d 6 / 2 2 / 0 99 1 . C l o s e d 8 / 2 1 / 0 9 J9 2 . S o l d 6 / 2 2 i 0 99 3 . C ] o s e d 8 / 2 [ / 0 9 J9 4 . S o l d 4 / 1 7 1 ~ J9 5 . C l o s e d 5 / 1 8 / 0 9 J C9 6 . S o l d 4 / I 7 / 0 9 J9 7 . C l o s e d ~ / I g i 0 9 J B9 8 . Sold 3/23/09 J

9 9 . C}osed 4/17/09 J1 0 0 . Sold 3/23/09~ 0 1 , Closed :4/17/09 J1 0 2 . ALLIED CAPITAL CORP A Int./Div. J T


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F I NANCI AL DI S CL O S URE RE P O RT !I N ....f Person Repo rling [ Dale of Report ]Page 1 0 of 46 I MOODY, JR., J A M E S S . 0 4 / 2 9 / 2 0 1 0Vll. I NVE S T M E NT S an d T RUS T SD NO~ ~o reportable income, assets, or transactions.)............................. ~ ............................ ~ . c. o. .............Description of As~ts Income during G ro~ value at end ~ Tmnsaetlons during repo~ing period(i~ludlng t~st assets) repoffing period of~aing period

Place "(X)" a~er each asset ~ Amount Ty~ (e.g., VaIue ~ Value Type (e.g. , , Date ~ Value ~ Gain ~ Idcnl ~ ofexempt from prior disclosure [ Code ~ ~ i v . , r e n t . Code 2 : Meth~ buy, sel!, [m~d~yy ~ C~e 2 ~ Code 1 ~ buyer/setler~ (A-H) or inl.) 0-P) ~ C~e3 redemption)[ ( Q-W ) ; ~ ~, [ transaction)........................................... ~ ........................ ~ .... ~ ............k ............................

103. ANNALY CAPITAL MGMT A lnt./Div, K T B uy 10~0/09 K(a~l)104. B uy 6/29/09 K(add l)105. Sold ~24/09 K C( p a r t )106. B uy 6/3/09 K

1 0 7 . S o l d 6/25/09 K B( p a r t ) ~108. CARNIVAL CORP A lnt./Div. J T109. CITIGROUP A lnt./Div. J T B u y 1 / 3 0 1 0 9 J1 1 0 . Sold 8/24/09 J A(part)111: CALAMOS A Int./Div. J T112. BAC ( SELL CALL OPTIONS) Sold 1 0 / I 6 / 0 9 Ji13. Closed 11/23/09 J B1 1 ~ , Sold 9/18/091 1 5 , Closed 10/16/09 J A1 1 6 . Sold 7/28/09 J

1 7 . Closed 9/18/09 J!8 . Sold 7/28/09 J

1 1 9 . Closed 8/21/09 J

i. |ncome Cain Codes: A =$1,0(RI or less B = 51,001 - $ 2,500 C = $2,501 - $ 5,000 D =$5,001 - SIS,000 E ~SI5,00I - $50,00(I


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F I NANCI AL DI S CL O S URE RE P O RT IN a m e f p e r s n R e p r t i n g O a t e o f R e p o r tPage 1 1 of 46 ] MOODY, JR. , JAMES S. 0 4 / 2 9 / 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - ~ , eo , ~ , vMue, tran~actions (Inehtdes those #f spouse and dependent ddldren; see p~ 34.60offilinginstrucdo~s.)[] NON~ (No reportable income, ~e~, or transactions.)

Description of As~ ] I n c o m e d u r i n g G ro s s v a l u e a t ~ n d Transactions during reposing p~i~( i n c l u d l n g ~ u s t a s s e t s ) reposing p~ of re~RingPlace "(X)" after cash assetA m o u n t ~ T y ~ ( e . g . , V a l u e V a l u e T y ~ ( e . g . , ~ D a t e V a l u ee 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 ~ e I ~ d i v . , r e n t , C o d e ~ M c t h ~ buy; soil,n ~ d t ~ y y C o d e 2 ( A - H ) " or int.){J-P) C o d e 3 r c d c m p t i o n ) . ( J - P ) : { A - H ) 0 f p r i w a c~ i t 0 - W ) ~ ] t,ans,ction)

1 2 0 . S o l d 5 / ~ 5 / 0 9

1 2 I . Closed 6/19/09122, Sold 5/15109 J

123. Closed 6/19/09 J

124. Sold 4/17 /09 J

1 2 5 . Closed 5 1 1 5 1 0 9 J1 2 6 . Sold 4 / I 7 / 0 9 J1 2 7 . Closed 5 / 1 5 1 0 9 J A

" 1 2 8 . I Sold 2/26/09 J1 2 9 . Closed 4/I 7/09 J1 3 0 . WELL~ ["ARGO iSELL CALL OPTIONS) i Sold 1 0 / 1 6 / 0 9 J

1 3 2 . Sold 9/18/09 J1 3 3 , Closed 1 0 / 1 6 / 0 9 J

1 " 3 4 . Sold 8/21/09 Ji135. Closed 9/18/09 J A"136. PENN RLESTINV TR None Sold 10/19/09 J B


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Ia 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 tFINANCIAL D IS C LO SU R E R E PO R T[ MOODY, JR . , JAMES S.

Page 1 2 of 46 0 4 1 2 9 / 2 0 1 o

N O N E ( N o reportable income, assets, 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 G ro s s v a lu 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 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 a s s e t s ) r e po rt i n g p e r i o d o f r e po rt i n g p er i o dIlaee"(X)"afiereaehasset I A m o u n t T y p e ( e . g . , Value Value T y p o ( e , g . , i Date i Valua [ Gain ~. I d e n t i t ~ o fe x e m p t f r o m p r i o r d i s c lo s u r e ~ l C o d e I d i v . , r e n t , C o d e 2 M e t h o d b o y , s e l l , [mmid~yy I Code 2 ! C ode I : b u y e r / s e l l e rI ~ ( A - H ) o r i n t .) ( J - P ) C o d e 3 r e d e m p t i o n ) ~i i: (J-P) ; (A-H) {! ( i f p r i v a t e........... ~__ .... ---L.-- ..... ~ .... _L ..........................

1 3 7 . Bu y 6/3/091 3 8 . PENN (SELL CALL OPTIONS) Sold 6/4/09 J1 3 9 . Closed 7 1 2 0 / 0 9 J A1 4 0 . PRUDENTIAL"FINA~AL None Bu y 4/24/09 K1 4 I , Sold 6/22/09 K Ct 4 2 . Bu y 3/30/09 K1 4 3 . Sold 5/18/09 K D

1 4 4 . PRU (SELL CALLOPT1ONS) Sold 3/30/09 J1 4 5 . Closed 4/17/09 J1 4 6 . RF (SELL CALL OPTIONS) Sold 8 / 2 1 1 0 9 J1 4 7 . Closed 9/18/09 J1 4 8 . Sold 4/17/09 Jt 4 9 , Closed 5 1 1 8 / 0 9 J B1 5 0 . Sold 3 1 2 7 / 0 9 J1 5 I. Closed 4/17/09 J

1 1 i 5 2 . GEO THERM AL B Distribution K W1 5 3 . REAL PROPERTY


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F I NANCI AL DI S CL O S URE RE P O RT N a , ~ e o f P e r s o n a e p o r t l . gPage 13 of 46 ~v, ~., ~A~s s. ] 0 ~ a 9 / 2 o ~ o

VII. INVESTMENTS and TRUSTS-i~.o,,,~,N O N E (No reportable income, a ssets, or transactions.)

B., c. - .................................:, Description of A s~ l a c o m c d u r i n g ~ G r o s s v a l u e a t e n d T m n ~ t i o a s d u ~ i n g r e p o s in g ~ ( h ) c l o d i n g t ~ s t a ~ t s ) r e p o s i n g p d o d of re.fling~ P l a c e " ( X ) " a l ~ e r ~ h a s s ~ ~ A m o u n t T y p e ( e . g . , [~ V a l u e Value T y p e ( e . g ., ~ Date ~ V alue [ G ain l d c a t i ~ y o f e x e m p t ~ o m p r i o ~ d i s c lo s u r e ~ C o d e I d i v . , ~ c n t . ~ C o d ~ 2 M e t h o d buy, sdl, ~ m n ~ d ~ y y ~ C o d ~ 2 [ C o d e I b u y e r / s e l l e r[............ ;~ JI , L (Q~W) ~._~[ ..... [ n a n s a c t i o n )

[ 1 5 4 . -- Diamond Hill , Valdco, FL None M W1 5 5 . -- Condo) Longboat Key, FL D Rent N W1 5 6 . -- Condo, Tampa (Ryan) None M W1 5 7 . -- Land, Mclntosh Rd, H illsbotough Cnty, D Rent N WFL1 5 8 . -- Property #1, Celo, NC None O W1 5 9 . -- Celo, NC - Blue Tract None N W

1 6 0 , -- Property #3, Highlands, NC None M W" 1 6 1 . -- North Carolina Condo None N W

6 2 . -- Rental Property, Plant City, FL D Rent O W6 3 . -- Tampa Condo #2 (James,) None M W

1 6 4 . -= Tampa Condo #3 (Ashley) D Rent M W1 6 5 . -- Tampa Condo #4 (Harbour Ct) E R e n t N W

6 6 . -- Bilmar #7 45 St. Petersburg, FL E Rent1 6 7 . -- Bilmar #7 47 St. Petersburg, FL E R e ~ ) t N W1 6 8 . -- Gainesville Condo None N W1 6 9 . INVESTMENT PARTNERSHIP E Int./Div. Pl T

1 7 0 . -- llorry Cnty, SC School District Bond


14/46

Page 1 4 of 46 M o o o Y . J r t. . J A M E S S . 0 4 / 2 9 / 2 0 1 0V I I . IN V E S T M E N T S a n d T R U S T S - ~ ., o ,, ,. ~,t,,. ~.,,$,,aon, a,a,a,,,~o~, o/,~ ...... .d dependent ,hildrtn; s e e p ~ 34-60

N O N E (No reportable income, as sets, or tra~actions0Description of A~ts ] Income d~iug G r~s value at end [ T r ~ s a c t i o n s d u r i n g r e p o ~ t b ~ g p e r i o d( i n c l u d i n g trust a s s e t s ) ~ reporting ~riod of reining ~6od

Itace"(X)"afi~cachasset ,A .... t[ Type(e.g., V a l u e Value [ Ty~(e.g., I Date Value ] Gainexcmplfrompdordisclozur ~ Code I ~ di . . . .. t, Code2 Mc~ ] buy, sell, ~m~d~ C~e2 [ Code I ~ buycrheller. (A-H) [ o r i n t . ) ( J - P ) Code3 ]redemption) i (J-P) [ (A-H) : ( i f p r i v n t

t71. - -Greenvil le Cn~, SC Bond Bu y 6/23/09 K172. -- South Carolina State Publ Svc Bond Bu y 2 / 2 / 0 9 J173. -- Greenville Cnty, SC Bond Bu y 2/~09 J174. -- B&K B ank Stock175. -- First Horizon Sold 3/23/09 J A I( p a r t )1 7 6 . So ld 1 1 1 2 3 / 0 9 J B( p a n )

177. -- W ells Fargo {Sell Call Options) Sold 7/27/09 J1 7 8 . Closed 9/18/09"179. -- Greet Bancshares

180. -- LSI Co rporation181. -- SunTrust Bank

182. -- Bank of G rani te Sold 1 2 1 9 1 0 9 J183. -- AT&T Bu y 5/15/09 K1 8 4 . Bu y 1 0 1 1 3 1 0 9 " J,(addl)

1 8 5 . Sold 2/20t09 K(part)186. -- BB& T Corp Bu y 6/8/09 J(addl)187. -- BP PLC Bu y 1 z z g / 0 9 K


15/46

FINANCIAL DISCLOSURE REPORT NameofPerson Rep art l.g DatenfR,llortPage 15 of 46 M O O D Y , J R . , J A M E S S . 0 4 / 2 9 / 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - in.dine, v.t~e, tr~.$~.,ion~ a.,J.d .s 1hose ol ,~ .....d dependent children; see pp. 3 4 - 6 0 of filing tnsan~-tlans.)1--] N O N E (No reportable income, a ssets, or transactions.)

A, B. C. D.Description of Assets Income dt~ring Gross value at end t Transactions during roponing period :(including trust assets) r epo rt in g per io d o f r epo rti ng per io dPlace "(X)" after each asset Am o un t T y pe (e .g ., Value Va lue Type (e.g. , i Date ; Value i Gain Identity ofexempt Iiom prior disclosure Code I div., rent, Code 2 Method buy, sell, ! mJ t, /dd/yy i Code 2 , Code I buy~Iseller

i (A-H) iorint.) (J -P) Code 3 redem ption) i : (jP) i (A-H) (ifp~ivate

.................................................... _1 i ( Q-W ) r i t transaction)

188 . Sold 4/20/09 K B( p a r t )18 9 . -- Duke Realty Corp B u y 3/30/09 J1 9 0 . B u y 7/8/09 J(addIt 191. -- Duke (Sell Call Options) Sold 3/31/09 J1 9 2 . Closed 4/17/091 9 3 . Sold 7/6/091 9 4 . Closed 8i21/09

! " 1 9 5 . Sold 7/27/09~ " 1 9 6 . Closed 9/8/09 197. -- Nueor Corporation Buy 10/22/09(addIt

1 9 8 . Bu y 10~8/09(addIt1 9 9 . Sold 3/23/09( p a r t )200. -- Potash Corporation Bu y 1 / 2 7 / 0 9201. Bu y 12/18/09(addIt~02. -- Suneo htc Buy 6/24/09

203. Bu y 1 1 / 2 4 / 0 9(addIt204. -- Sunco (Sell Call Options) Sold 8/21/09


16/46

F I N A N C I A L [Namef 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 tD I S C L O S U R E R E POR T[ MOODY, JR . , JAMES S.

04/29/2010age 16 of 46VII. I N V E S T M E N T S a n d T R U S T S - i,o0no, ~ot, e, tr~,~.ao,setnct~aest~o~of~.~.~aa~,e~,.~aa,~;---] 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 ~ I n c o m e d u r i n g G r o s s v a l u e a t c a d T r a n s a c l 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( 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: 11) i (2) (1) 12) (I 1 i (2) (3) ~ 14) . ( 5 )! P l a c e " I X ) " a f t e r c a e h a s s e t i A m ou n t t T y pe ( e ,g .. Value Value T y p e ( e . g . , i Date . Value Gain ~ l d c m i t y 0 fe 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 Code I ] d i v . , c e n t , C o d e 2 M e t h o d b u y , s e l l , i mm/dd/yy [ Code 2 i Code 1 i b u y e r / s e l l e rI (AH) [ o r i n t . ) ( J - P ) Code3 r c d c m p t i o u ) i (JP) i(AH) i ( i f p r i v a t

2 0 5 . Closed 9 1 1 8 / 0 9 J2 0 6 . -- Valero Bu y 6 / 3 1 0 9 J2 0 7 . Sold 4/20/09 J(par0208. -- W el ls Fargo Bu y 6/17/09 J(addl)209. Sold 5/I 8/09 J(par0210. -- Note R eceivable (Shelton) Open 6 1 1 4 / 0 9 L21 I. -- Fkst Tampa 301 LLC Bu y 11/27/09 J212. -- STI (Sell Call O ptiorts) Sold 1 / 2 0 / 0 9

1 2 1 3 . Closed I/27/09 J C2 1 4 . Closed 1 / 1 6 / 0 9 J B215. Closed 1 / 1 6 / 0 9 J B216. Closed I / 1 6 / 0 9 J B2 1 7 . Sold U 2 1 1 0 9 J2 1 8 . Closed 1 / 2 7 / 0 9 J B

2 1 9 . Closed 1 / 2 0 / 0 9 J D220. Closed I/2/09 [ J B22L Closed 1 / 2 / 0 9 J C


17/46

FINANCIAL DISCLOSURE REPORT i N a m ~ o f P e r s o n R ~ p o r f i n gPage 17 of 46 MOOD Y, JR . , JAME S S .

]04/29/20

VII. I N V E S T M E N T S a n d T R U S T S - in e o , ~ e , , ~ t n e , ~ . ,~ , t io . s O . a u a ~ , h o s e o / ~ anddependentchiMren; seep~ 34~Ooff!lingN O N E (No reportable income, as~et~, or transactions,)

~ D e s c r i p t i o n o f A s ~ t s ~ I n c ~ c d u r i n g ~ G r o s s v a l u e a t ~ n d T r a n s a c 6 o n s d u r i n g r e p o r t i n g p e r i o d

Ty~ (e.g, [ D a l o , Va l~e ~ Gn ~ ] I d e n ~ r y o fA m o u r ~ Ty~ (e.g., Valuc Value ~ ~ "c x c m p l f r o m p r i o r d i s c l o s u r e [ Code I ~ ,i ......, C o ~ 2 M e t h o d buy, sell,, .[ (A-H)o r i n Q 0 - P ) C o d e 3 red,top,ion)

= 2 2 2 , Cloud 1/~09 J D223. Closed 1 / 2 / 0 9 K E224. Closed 1 / 2 1 0 9 J D225. Closed 1 / 2 / 0 9 J B226. Closed 1 / 2 / 0 9 J D227, Closed U2/09 J D2 2 8 , C.losed U 2 / 0 9 J C229. Closed 1/2/09 K E230. Closed 1 / 2 / 0 9 J 1 3

Closed 1 / 2 1 0 9 J B~ 232. Sold 1/2/09 J1233. ~ .... Closed 1/23/09 J D

234, Sold 2 / 6 1 0 9 J2 3 5 . Closed 2 / ~ 9 / 0 9 J A236. Sold 2/6i09 J237. Closed 2 1 1 9 / 0 9 J A238. Sold 2 1 6 / 0 9 J


18/46

F I N A N C I A LDISCLOSURE Iu m e MPers0n R eport|rigI

D a t a : o f R e p o r t

I

R E POR T[ MOODY, JR., JAMES S. 04/29/2010

Page 18 of 46

NON~ (No reportable income, a~sets, or transactionsO

D e s c r i p t i o n o f A s ~ l s I n c o m e d a r in g ~ Gross value at ~d Transactions during reining period( i n c l u d i n g t r u s t a s s e t s ) rcponlngpcri~ [ of reposing ~ri~o) -~ (2) ~) ] (2) .... ~ ....... (2) ~ (3) [ ~)P l a ~ c " ( X ) " a f t e r e a c h a s s e t A m o u n l ] T y p c ( e . g ., Value ] V alue Ty~ (c.g., Date ~ Va lu~ ~ G a in l d c n f i~vmp~ f~m prior disclo .... ~ C~v I~] ~ ..... n ,, C~c 2 [ Mc~ b u y . s e l l , ~m~d~ ~ Code 2 ~ Code l

[ ( Q - W ) [ ~ ~ ~ r a n s a c l i o n )2 3 9 . Closed 2 1 1 9 / 0 9 J B2 4 0 . Sold 2/~09

241. Closed 2/19/09 J A2 4 2 . Sold 1 1 2 0 / 0 9 J2 4 3 . Closed 2/5/09 J B244. Sold 1 / 2 0 / 0 9 J245. Closed 2 / . 5 / 0 9 J B246. Sold 2/6/09 J

~ " 2 4 7 . Closed 2/19/09 J C .......

249. Closed 2/5/09 J C2 5 0 . Sold 2/19/09 J

2 5 1 . Closed 3/20/09 J252. Sold 2/19/09 J2 5 3 . Closed 3/20/09 J

i 2 5 4 . .Sold 2/19/09 J

255. 3/20/09 J Closed

Ga in Co d~:


19/46

F I NANCI AL DI S CL O S URE RE P O RT [ N , , ~ e o f P ~ . o n R e p o r t i n gPage 1 9 of 46

[ M O O D Y , J R . , J A I V l E S S . [~129/2010

V I I. IN V E S T M E N T S a n d T R U S T S - ~ , . o ~ , ~ , . trumacaons (lmh,d~ those of s~use andd~pendent children; ~eNONE ~o reportable income, assets, or transactiom.)

J Description of As~ ~ Inco~ during ~ Gross value at end Transactions daring r~po~ing period ,,~ (i~luding trust ~sets) : reposing period ~ of reposing

Place *IX)" a~er each asset Am~nt ~ Typ* ~e.g., V a l u e ~alue Type (e.g, , ~ Datei: Value~ Gain ~ Identity ofexempt from prior disclosure ~ C~e I ~ div., ren~ Code 2 Method buy, sdl, ~m~d~ Coflo 2~ (A-g) ~ or int.) ( J -P) C~c3 redemption) *~ i ( J -P) (A-H) [ 0fprivat*~ [ ( Q - W ) ~ ~ transaction)

2 5 6 . Sold 2/24/09 J257. Clued 3123]09 J C

2 3 8 . Sold 2/24/09 J259. Closed 3/23/09 J C260, Sold 2/23/09 J

261. Closed 4/17/09 K

2 6 2 . Sold 2/27/09 J]263. Closed 4/17/09 J

~ 2 6 5 . Closed 4/17/09 K2 6 6 . " Sold 3/24/09 3267. Closed 4 1 7 / 0 9 J C2 6 8 . Sold 2/27/09 J2 6 9 . Closed 4/6/09 J B2 7 0 . Sold 3/24/09 J

2 7 t . Closed 4/6/09 J C2 7 2 . Sold 4/9/09 J

P3 : $25 , I X f O,OOl - $.iOJ~dO,000 P4 ~Mor than SS0,0tR),000


20/46

FI N A N C IA L D I S C L OS U R E R E POR T N a ~ , e o f P e r ~ o . ReportingPage 20 of 46 M O O N Y , J R . , J A M E S S . 0 4 / 2 9 / 2 0 1 0

VII. INVESTMENTS and TRUSTS-~o.~, va~tr~t~ns(In~ud~th~e~f~m~ndd~r~nd~"tcM~seepp~4~f~ing~.t~.~x)N O N ~ (No ~epormble income, assets, or transactions.)

Dc~ipli~n of A~ts ~ Income d~g G r~s vflue at end T r a n s a c t i o n s d u r i n g r ~ o n i n g p e r i o dI O) (2 ) 0) (2 ) 0) [ (2)P l a c e " ( X ) " a f i e r e a ~ h a s s e ~ ] A m o u n t I T~e(e.g. , V a lu e V a lu e T y p e ( c , g . , [ D a t e [ Va lue ~ G a i n ~ ldcnl i Iyofi (A-H) ] orim.) ( J -P) Code3 r e d e m p t i o n ) ~ ~ (J-P) " ( A - H ) ( i f p d v a t c

L , I ~ ( Q - W ) [ i ; " l r a n s a c ~ i o n )............................................... ~ ~ ............................... ~ ....... ~ ............. ~ ...........................2 7 3 . Closed 5/18/09 J C274, Sold 4/17/09 K2 7 5 . Clued 5 1 1 8 / 0 9 J E

276. Sold 3/25/09 J2 7 7 , Closed 5/22/09 l C278. Sold 3 / 2 4 1 0 9 J279. Closed 5/18/09 J C

t280. Sold 4/9/09 J281. Closed 5/18/09 J C282. Sold 6/2/09 .1

" 2 8 3 . Closed 6/22/09 J B" 2 8 4 . " Sold 5 / 2 2 1 0 9 J285. Closed 6/2Z/09 J B286. Sold 5/22/09 J2 8 7 . Closed 6/19/09 J 1 3288 . Sold 5 /22/09 J289. Closed 7/20/09 J C


21/46

F I NANCI AL DI S CL O S URE RE P O RT NameofPersou Rel~orting DuteofReportPage 2 1 of 46 MOODY, JR., J A M E S S . 0 4 / 2 9 / 2 0 1 0

V l l . I N V E S T M E N T S a n d T R U S T S - ~ . , . o ,. ., ~ n t , ,. ,, . . . . . . . . t i ~ n s (~ n c l u ~ s ~ h ~ s ~ f s p ~ n ~ s e a n d d e P ~ n d e n t e h i ~ d r n : ~ t p l ~ 4 - 6 # ~ f ~ n g i n s t ~ t t ~ n s .)N O N E (No reportable income, assets, or transactions.)

B. C. D.Description of Assets Income during G russ value at end Transactions during reporting period(including trust assets) reporting period of reporting period .................(l) , (2) (I) I-- (~--~--- (l) I (2) ; (3) (4)Place " (X)" a f t . . . . b a s s e l : Amoun t i Type (e .g . , V a lu e V a lu e Type (e.g., Date ] Value j Gain Identity ofexempt from prior disclosure Code I ~ div ., rent, Code 2 Method buy, sell, mm/dd/yy I~ Code 2 Code I buyer/seller: (A-H) : or int.) (J-P) Code 3 redemption} i (JP) i (A-H) (ifprb.,ate........................ ~ .......L_.....~ ............r.~.~....

290. Sold 6/24/09

291. Closed 7/20/09 J C292. Sold 6/2/09 J2 9 3 . Closed 7/2/09 J B2 9 4 . Sold 5 1 2 2 1 0 9 J2 9 5 . Closed 7/6/09 J B2 9 6 . Sold 7/1/09 J 2 9 7 . Closed 8/13/09 J298. Sold 7/7/09 J299. Closed 8/13/09 J300. Sold 6/2410930 I . Closed 8/13/09302. Sold 7/6/09303, Closed 8/13/09304. Sold 9/8/093 0 5 . Closed 9 / 1 8 / ( } 9 J

3 0 6 . Sold 9 1 8 / 0 9 J


22/46

Name of Person Rep orting Date of ReportF I N A N C I A L D IS C LO SU R E R E PO R T.Page 22 of 46 0 4 1 2 9 1 2 0 1 0

N O N E (No reportable income, assets, or transactions.)A. i B. C. D,Description of Assets I Income during G ross value at end Transactions during reporting period

(including trust assets) i reporting period of reponiag periodPlace "(X)" aher each asset !Amount Type(e.g., [ Value : Value Type(.g,~ i Date !Value i Gain Identityofexempt from prior disclosure i! Code I div., rent, Code 2 I Method buy, sell, i mm/dd/yy i Code 2 ~. Code I buyer/seller." (A-H) or int.) (JP) i Code 3 redemption) i i (J-P) ! (A-H} (~fprlvatei I ( Q-W ) i I ! transaction)

307. Closed 9/18/09 J30 K Sold 918109 J

309. Closed 9/18/09 J310. Sold 7 1 2 7 / 0 9 J

Closed 9/18/09 J312, Sold 7 1 2 7 / 0 9 J313. Closed 9/18/09314. Sold 7/8/09 .15 . Closed 9/18/09316. Sold 7/27109317. Closed 9/8/09318 . Sold 8/13/09319. Closed 9/18/09320, Sold 10/14/09321, Closed 10/20/09322. ~ .... r" Sold 9/18/09323. Closed 10/5/09


23/46

Name of Person Reporting Date of ReportF I N A N C I A L p a g e 2 3 o f 4 6 D I S C L O S U R E R E P O R T MOODY, JR., JAMESS. 0 4 / 2 9 / 2 0 1 0

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

Description of Assets Income during Gross value at end Transactions during reporling period(including trust assets) reporting period of reporting period

O) [ {2) (i) (2) (t ) ~ {2) (3) (4)Place"(X)"aftcrcaehas~ct iAmount! Type{e.g., V alue V alue Type(e.g., ] Date [Value i Gal~l ] I dc-n~ tyof

exempt from prior disclosure Code I i div., reltt, Code 2 Method buy, sell, ~ mm/dd]yy Code 2 ; Cede I ? buycrlsctler(A -H ) I orint.) ( J -P) Code3 redemption) ] ( J -P) : (A-H) (ifpri,oa~ci ( Q - W ) } i i transaction)

324, Sold 9 / I 8 1 0 9 J325. Closed 10/5/09 J C326, Sold 9/18/09 J3 2 7 . Closed 1 0 1 5 / 0 9 J C

!328. Sold 1 0 1 6 / 0 9 J

329~ Closed 10/19/09 J C3 3 0 . Sold 1 0 / 5 1 0 9 J3 3 t . Closed 10/20/09 ,1 B3 3 2 . Sold I0/5/09 J333, Closed 10/20/09 J C334. " Sold 1 0 / 5 / 0 9

335. Closed 10/26/093 3 6 . Sold 1 0 / 5 / 0 9 .I3 3 7 . Closed 10/26/09 .l 1 3

t 3 8 . Sold 1 0 / 5 / 0 9 J3 3 9 . Closed 10/26/09, J B3 4 0 . Sold 1 0 / 5 / 0 9 J ]

I


24/46

Iame of Person Rep orting Date o f Rep ortFINANCIAL DISCLOSURE REPORT [ M?ODY, JR. JAMESS.04/29/2010age 24 of 46

V I I . I N V E S T M E N T S a n d T R U S T S - ~ .e o ,, e , v a l ~ e . t r a n s a e t t o n s ( t n ~ . t n a e ~ t t ~ n s ~ o l " s t ~ o # s e a n a , t e l ~ e n a e n t c h t t d r e n ; s , e p l x 34-60,~f.ati.gtnstr~ti~,.s.)N O N E ( N o reportable income, assets, or transa ctions.).

A . B . ! c. - . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 : . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Description of Assets Income during{

G ross value at end Transactions during reporting period(includi~g trust assets) reporting period of reporting period(I) ~) (1) (2) ( i) ~) ~3) ~~j- ...........-(~i ... . . . . .Phtcc "(X)" at tcr each asset iAmount! Type(e.g., [ Value Va l u e Type(e.g., Date Value i Gain ldcn6tyof

~xempt from prior d isclosure i Code 1. [ div., rent, I Code 2 Method buy, sell, m m/dd/.vy Code 2 i Code I buyer/seller(A-H) i orint.) [ (J-P) Code 3 redem ption) i (J-P) : (A-H) (ifprivatc........................................................ ~ ...... ~. ! ( Q-W ) ~ i transaction)

341. Closed 10t26/09 J B342. Sold 10/5/09 - J343, Closed 10/26/09 J C344. Sold 8t13/09 J345. Closed 1 0 / 1 4 / 0 9 J C3 4 6 . Sold 9/18/09 J347. Closed 10/5/09 J D348, Sold 9/18/09 J349. Closed 10/5/09 J A ~ 5 0 . Sold 9/18/09 J3 5 1 . Closed 1 0 / 6 / 0 9 J C352. Sold 9/18/09 J

[ 3 5 3 , Closed 1 0 / 6 / 0 9 J C. . . . i 5 4 . Sold 8/13/09 K

355. Closed 1 0 / 5 / 0 9 J B356. Sold 9/18/09 J3 5 7 . Closed 10/5/09 J D


25/46

FI N A N C IA L D I SC L OS U R E R E POR T ~=e of Person Reporting [ Dale of ReportPage 25 of 46 MOODY, JR., JAMES S.

I04/29/2010

V I I . I N V E S T M E N T S a n d T R U S T S - s .~ . , ~ , ~ t u ~ ~ n ~ t i" n s ( ~ e ~ t d e s t1 ~ s e ~ f ~ t ~ ~ " ~ . ~ n d d e p e ~ d e " t c ~ u d r e n ~ s ~ p p . 3 4 - ~ " f ~ i n g i ts t r~ ~ i " ~ . ~ .)N O N E ( N o reportable income, assets, or transactions.)

A. B. C. D.Description of Assets lncomc during Gross value at end Transactions during reporling period

(inctuding trust assets) reporting period of reporting period(I) (2) (I) (2) (l) (2) i (3) i (4) (S )

Plate "(X)" after each asset I Amonnl Type (e.g., Value Wl~e Type (g., Dat~ i VaMo ~ GaiB ldeolily ofexempt from prior dislosur~ . ! Cod~ 1 die., rent, Code 2 Method buy. sell , ! mm/dd/yy i Code 2 i Code 1 buyer/seller

i(AH) or/hi.) ( J -P) COd~3 redemption) i (j.p) ~ (A -H ) (if private~ ( Q - W ) I transaction)

3 5 8 . S o l d 1 0 / 2 2 t 0 9 J

359. C l o s e d 1 1 / 2 0 1 0 9 J A360. S o l d 10/28/09 J

361. C l o s e d 11/20/09 J B

3 6 2 ~ S o l d 10/20/09 J

3 6 3 , C l o s e d I 1 / 2 0 1 0 9 J BS o d o/2o/o9

3 6 5 . C l o s e d 1 1 1 2 0 1 0 9 J B366. Sold 10122109 J

367.. C l o s e d ] 1 1 ! 2 0 / 0 9

3 6 8 . S o l d 1 0 1 2 2 / 0 9

369. Closed 11/20/09 J C370. Sold 10130/09 J371 . C losed 1 1 / 2 0 1 0 9 J A372. Sold 1 / 2 3 t 0 9 J

t 7 3 . C l o s e d 1 2 / 9 / 0 9

374. S o l d !0/21109


26/46

Name of Person Reporting Date ofP a g e F I N A N C I A L 2 6 o f 4 6 D I S C L O S U R E R E P O R T MOODY , JR., JAMES S. 04/29/2010V I I . I N V E S T M E N T S a n d T R U S T S - i n ~ . o ~ , e , vulue, transactions (lncludea those of spome and dependent children; sen ptx 34o60offllinglnstructions.)" - - ] N O N E ( N o reportable income, assets, or transactions.)

.......................... A. B . c. F ......................... B7 ...............................Description of Assets Income during Gross value at end~I Transactions during reporting pcdod

(including trust assets) reporting Ix:riod of reporting period~l~i ~2~ ( , ) i~2~ ~ ~l~ F~--?~i-~--~i . . . . . . . . . . . . . . . . . ~3- . . . . . . . . . . . . . .i Amount Type (e.g., V a l u e I V a l u elace "(X)~ after each asset ~ [ Tyl:~ (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 Code I ] div., rent, Code2 i Methodt b u y , s e l l , I m r r d d d /y y ! C o d e 2 ! Code I b u y e r / s e l l e r(A" i .rinu, 0-P) i Code3 redemption) ~ ~ (J-P,~ IA-H) 6fprivatc......................... ~ ...... ~.__~._ ( Q - W ) transaction)375. Closed 1 2 / 1 4 / 0 9 J B3 7 6 . Sold 1 1 1 2 3 1 0 9 J~77, Closed 1 2 1 1 4 / 0 9 J C

37~i s o l d 1 0 / ~ : 0 9 ~379. CIosed 1 2 d 2 1 / 0 9 J C380, Sold 1 2 / 1 4 / 0 9 J38!. " Closed 12/21/09 J B3 8 2 . Sold 1 1 / 2 3 / 0 9 i J383. C l o s e d 1 2 / 1 8 1 0 9 J C3 8 4 _ Sold 11/23/09 J385. Closed 12/18/09 J B3 8 6 . Sold 1 1 / 2 0 / 0 9 J387. Closed !12/29/09 J A3 8 8 , Sold 11/20/09389. Closed 1 2 / 3 0 / 0 9 J B

i 9 0 . Sold 1 1 / 2 3 1 0 9 J39t. Closed 1 2 / 3 0 / 0 9 J C


27/46

F I N A N C I A L D I S C L O S U R E R E P O R T r ~ m ~ o f P ~ r s o a a ~ p o r ~ .g IPage 27 of 46 MOODY , JR . , JAME S S .[

04129/2010

VII. IN V EST~NTS and TRUSTS - ~, , . . ....... ~ , , ~ , , . . . . . , i o .~ a ~ ~ , o ~ . o f ~ . ~ . ~ . d ~ . d ~ . , . ~ , a d . , , ; ~ . ~ ~ . ~ 0 o f ~ . ~ ~ , , . , , , , , , . , ~ , , , ~ . ~N O N E (No reportable income, assets, or transactions.)

A . B. C.~ Dc~ipt~on of As~ ] Income dudug G r o ~ 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 c p o ~ i n g p ~ r i o d~ (including trust assets) : ~portmg ~rtod ofrcpo~mg pe~odI ~ ~) (2 ) (D (2) ~) ~ (2) (3) ~ (4) (5 ). P ~ a c c * ( 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 a l u e V a [ n c T y p e ( c .g , , ~ Da~ ~ V a lue ~ Ga in [ d c n l i ~ y o f~ e x e m p t f r o m p x l o t d i ~ l o s u r e ~ C ~ [ d i e . , r e n t , C~ 2 Meth~ b u y , s e l l . [ m~d~yy ~ Code 2 r Code [ buy~dscllcr~ ( A - H ) o r i n t ,) ( J - P ) C o d e 3 ~ c d c m p f i o n ) ~ ( J-P) (A-H) ( i f p r i v a t e~ [ ( Q - W ) ~ I~ ~ I ~ t r a n s a c t i o n ),............................................................... ~ ........ ~ .L ~ .......392 . So ld 1~ I0109393 . C losed 1 2 1 3 0 1 0 9 J C394. - - Nuco~ (Se l l Ca l l Op t i ons) So ld 1 1 2 3 1 0 9

]9 5 . Closed 1 1 2 3 1 0 9 J B396 . So ld 4 1 9 1 0 9397. Closed 5 1 1 8 / 0 9 J B398. Sold 5/22/09 .I399. Closed 6/19/09 J4 0 0 . Sold 6/19/09 J4 0 I . Closed 7!7/09 J B402. Sold 8/21/09 J403. Closed 9/18/09 J A404. -- BB&T (Sell Call Options) Closed 1 / 2 0 / 0 9 J B405. Sold 1 / 2 3 / 0 94 0 6 . Closed 2/19/09 J B407. Sold 2/20/09

408 . Closed 3/20/09 J A


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FI N A N C I A L D IS C L OS U R E R E PO R T N ~ , ~ e o r ~ e r s o ~ a ~ p o r ~ t n g D . t e o m e p o .Page 28 of 46 , ~ o o o v , J a ., J A M ~ S S . 0 4 / 2 9 / 2 0 ~ 0

VII. IN V ESTM ENTS and TRUSTS -~ N O N E (No reportable income, assets, or transactions,).................................... ~ ..................D ~ c r i p t io n o f A s ~ t s I n c o m e d u r in g G r o s s v a l u e a t e n d T r a n s a c l i o n s d u r i n g r e p o ~ i n g p e r i o d~ ( i n c i u d i h g ~ u s t a s s e t s ) ~porting ~riod o f r e p o a i n g p e r i o d Place"(X)"a~crcaeha~et ]Amo~t T y p e ( e . g . , V al ue Value T~c(e.g., i Dat~ [Value ~ G~dn ~ I d e m i t y o f~ e x e m p l f r o m p r i o r d i s c l o s u r e [ C~c t d i v . , ~ n t , C o d e 2 M e th o d ~y. sct~ l [m ~ f f d ~ Y Y ~ C o d e 2 [ C o d e I , b u y e f f s c l l e ri ( A - H ) o r i n t , ) ( J - P ) Code3 r e d e m p t i o n ) ( J - P ) (A-H) ~ ( i f p r i v a t e~ ( Q - W ) ,, ~ ~ t r a n s a c t i o n )

409. Sold 3/24/09 J410. Closed 4/17/09 J411. Sold 4/17/09 J412. Closed 5/15/09 J C4 1 3 . Sold 5/22/09 J4 1 4 . Closed 6/19/09 J A

f4 Sold 5/22/09 J5.

416. Closed 7/8/09 J B4 t 7 ~ Sold 6 / 1 9 1 0 9 J4t8. Closed 8/17/09 J419. Sold 7/9/09 J420. Closed 8/13/09 J4 2 I . Sold 7 / 7 1 0 9 J

4 2 2 . Closed 8/20/09 J4 2 3 . Sold 8/13/09 J4 2 4 . Closed 9/8/09 J4 2 5 . Sold 9/8/09 J


29/46

F I NANCI AL DI S CL O S URE RE P O RT ~ ..... 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 tPage 29 of 46 ~OODV, JR., J A M E S S . 0 4 / 2 9 t 2 0 1 0

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

~ s c r i p t i o n o f A s ~ t s ~ I n c o m e d u r i n g G r o s s v a l u e ~ e n d T r a n s a c t i o n s d u r i n g ~ i n g p e r i o d{inludin~ t~t ~ssets)~ r e p o r t i n g p e r i o d o f r e p o a i n g p e h o dPlace"(X)"aflereachasset [ A m o u n t T y p e ( e . g . , Value Value Ty~(e.g., j Date V a t~ ~ G a in Identilyofe x e m p t f r o m p r i o r d is c l o s ~ e ~ C o d e 1 d i v . , r c n ~ C od e 2 ~ Meted b u y , s e l l , ~ m~ d& ~ 3 C od e 2 ~ C~ e 1 b u y e r / s e l l e r~ ( A - H ) o r i n t .) O - P ) C~e3 r e d e m p t i o n ) i ( J - P ) ~ ( A - H ) ( i f p r i v a t e ~ ( Q - W ) ~ ~ t r a n s a c t i o n )

426. Closed 9t18/09 J427. Sold 8/26/09

~ 4 2 8~ Closed 9/8/09 J

i 2 9 . Sold 1~14109 J430. Closed 1 0 t 2 3 / 0 9 J B

~ 4 3 I . Sold 9/18/09 J432. Closed 1 0 / 5 / 0 9 J B433. -- Best Buy Sold ~18/~434. -- G eneral Mil l s Buy 2/t7 /09 K .435. Sold 2/18/09 K436. Buy 4/22/09 K437. Sold 1 0 / 7 / 0 9 K D~38. -- Jol~tson & Job"son -- Sold 2/18/09 K(part)439. Sold 5/) 8/09 K",~40. -- JNJ (Sell Call Options) Sold 3/9/09 J441, Closed 3/20/09 J442. -- AFLAC Bu y 3 / 2 f 0 9 K

I. Income Gain Codes: A = S I , O 0 0 o t l e s s I ~ - S l , O 0 t - : $ 2 , 5 0 0 C = 5 2 , 5 0 1 - $ 5 . 0 0 0


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F I N A N C IA L D I S C L O S U R E R E P O R T - Nans, of Pc,sun Reporting ] Date of R,port [Page 30 of 46 MOODY, JR., JAMES S. 04/29/2010V I I . IN V E S T M E N T S a n d T R U S T S - ~ , ,o , . e , v a l u e ~ t r a m . a ~ i ~ n s ~ n e ~ d e s t h ~ s e o f ~ u s e ~ n a ~ p e n d ~ n r ~ i ~ & n ; s e p ~ 3 4 - 6 ~ o f ~ i t ~ n g h ~ t ~ u c d o ~ s . )

NONE (No reportable income, assets, or transactions.)A. ; B. C, [ D.Description of Assets i Income during Gross value at end [ Transactions during repo~liog periodI, including trusi assets) ! reporting period of reporting period

i (l) [ (2) ---~i" ..... "-(~) .... (1) , (2) ! (3) (4) (5 )Place "(X)" after each asset ! Am ount [ Type (e.g . , V alue V alue r~ Type (e,g. , Date g Value ! Gain Identity ofexempt from prior disclosure ! Code I i diD., rent, Code 2 Method i buy, sell, ~mm/dd/yy i Code 2 i Code l buyer/seller! (A-H) I orint,) (J-P) Code3 redemption) ~ [ (J-P) I (A-H) (ifprivate

] 443. S o l d 4120109 K D444. -- Bank of America Sold 4120/09445. - - Meadwes tvaeo Corp Buy 1/I/09446. Sold 4113/09( p a r t )4 4 7 . So ld 4/20/094 4 8 , -- Washington Mutual Sold 4/13/09449. -- Hartford Financial B uy 1/13!09450. Sold 5/18109

451. B u y 3/30/09 J452. B u y 6/15/09 J4 5 3 . Sold 8/24/09 l A -454. - - H a r t t b r d ( S e l l C a i l O p t i o n s ) S o l d 3/31/09 J455. Closed 4/17/09456, -- Prudential Financial B uy 3/30/09457. So ld 5/18/09458 , -- PRU (SellCall Options) Sold 3/30109459. Closed 4/17/09


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Iame of Person Rep orting Date of ReportF I NANCI AL D I S C L OS U R E R E POR T[ MOODY, JR, JAMES S.

04/29/2010ag ~ 3 1 of 46VII. INVESTMENTS and

N O N E (No reportable income, assets, or transactions.)A. B. C. ~ D,D~cription of A~ets Incom e during G ross v alue ~ end [ T~nsactions during repoging period(including trust ~sets) rc~ing period of ~aing p~fi~ [

~-~) ~; ......................) F O) ~ . . . . . . . . . . . .2) ~ ..........3) r .......4 )2 ) V n l u " V a l u e [ Typc(c,g,, [ Date ~ Value ! Goin [dcnfityofla~ "(Xy after each asset ~ Amoum ~pc (c.g,,cxcmptfmmp6ordisclosure ~ C~e I d iv ,. rcm , Code2 ~ Method [ buy, sell, ,m~d~yy ~ C~c~ ~ Code I buycr/scflc~

~60, -- Regions Financial Buy 4/27/09 J( a d d l )

46L" (add[)Buy@ 1 7 / 0 9 J

[ 4 6 2 . S ol d 8/24/09 l B

463, -- Pfizer [nc Buy 4/22/09

464. So l d I 0/l 9/09 J C

465. TRUST ~[ - In om~ Benficia~ D I n t . / D i v . N T

4 6 6 1 - - Ba nk of Ame r i c a 4 6 7 . - - B B & T C o r p o r a t i o n B u y I / 7 / 0 9 ~ l

( a d d l )46 g . -- BP PLC Bu y 12/14/~

469. -- First Horizon So l d 8/~4/09 J B(pa~t)4 7 0 . - - N u c o r C o ~ o m t i o n Buy 4 /2M09 J

4 7 L - - S u n o c o I n c Buy 4/22i09472. -- SUN (Sell Call Options) gold 12/2/09 J473." Sold 8 /2 U094 74 , Closed 9/18/09 J475: -- SunTrus~ Sank

476. -- Wells Fargo & Co Sold 3/23109 J(part)


32/46

FINANCIAL DISCLOSURE REPORT I N a , ~ e o r e r r s . R ~ o r , i . g ]Page 32 0f46 ~ M O O D Y , J R . , J A M E S S . }

~t29/2010

Vll. INVEST~NTS and TRUSTS-~ ......~ NONE (No reportab& income, asset~, or transactions.)--- A. T B. C. D . ~ .............D e s c f i p t { o n o f A s s c ~ ~ Income dur~g G r o s s v a l u e a t e n d ~ T ~ n s a c t i o n s d u r i n g r e p o a l n g p e r i o d :( i ~ c l u d i n g ~ u ~ t ~ s c t s ) ~ ~po~ing ~r[~ of re~ing peri~

P l a c e " ( X ) " ~ c r e a c h a s s e t ~ A m o u n t ~ T y p e ( e . g ., Value ~ Value T y p e ( e . g . . ~ Date ~ Value Gain I d e n t i t y o fcxcmptfrompfio, aisclos~ [ Code 1 ~ div., ~nt, C~e2 ~ M e t h o d b u y , s e l l , ~m,~d~yy ~ ~2 [ Code 1 b t , y c r / s e l l e r. ( A - H ) ~ : o r in t .) ( J - P } ~ C o d e 3 r c d c m p t i o a ) , (J-P) (A-H) ( i f p r i v a t e

477 . -- Pfizer Bu y 4/22/09478. Sold 11/23/09 K C479. -- Calamos480. -- Spectra Energy Sold 12/14/09 J4 8 I . Sold 4/20/09 J( p a r t )482. -- Regions Financial Sold 1/4/09 21483. -- STI (Sell Call Options) Sold 1 1 / 2 3 / 0 9 i484. Closed 12/!0109485. Sold 11/23/094 8 6 , Closed 1 2 / t 1 / 0 9 4 8 7 . Sold 11/23/09488. Closed 12/21/094 8 9 . Sold 1/23/09 J

4 9 0 ~ Closed 12/21/09 J491. Sold 1 ! 1 2 0 / 0 9

J 4 9 2 . Closed 12/23/09 J 1 3493. Sold 11/20/09 J

I. lnon]~ Gain Codes: A ~SI


33/46

In me o f Perso n Rep o r t in g D a t e o f R e p o r iF I NANCI AL DISCLOSURE R E P O R TI MOODY, JR.,JAMES S.

04:29/2010age 33 of 46V I I . I N V E S T M E N T S a n d T R U S T S - ~ ,, o m o . ~1~, ,r~,~aon~ a.ot.a~ ,i,o,~ .s~.s, ~nd ~.~, ,hila..~; ~ ~. ~ 4 ~ 0

N O N E ( N o reportable income, assets, or transactions.)i A. B. C. D.Description of Assets ! Incom e d uring G ross v alue at end Transactions during reporting period(including trust assets) , reporting period of reporting period

~ ( I ) (2 ) O) (2) O) (2) i (3) (4)Place "(X)" after each asset i Ammmt ~ Type (e.go, Value Va l u e Type (e.g. , Date Va ue . Gain Identity ofexempt from prior disclosure ! Code I ! div., rent, Code 2 Method buy, sell, !mm/dd/yy ! Code 2 [ Code I buycr,scllcr~ (A- H ) i orint.) (J-P) C o d e3 redemption) i i (J-P) ! (A-H) (ifprivateI : , (Q-W) .................................................................................. L - ..... -_ . ....... ..-Z ...._..~, ......................... ~ ...... ._..~__.___ i transaction)494. Closed 12/28/09 J C495. Sold 10/t9/09 J496. Closed 11/20/09 J C

Sold I015/09 J4;8. Closed 11/20/09 J D499. Sold t0/5/09 J500. Closed 11/20/09 Jt S01. " ..... .Sold 10/5/09 J

502. Closed [ 1/20/09 J D5 " ( ~ 3 . S o l d 9/8/09 J504 . Closed 10/5/09505. Sold 7 /8/09 J506. Closed 10/5/09507. Sold 719/09 3508 . Closed 10/5]095091 Sold 9/18/09 J510. Closed 10/19/09 K D


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FINANCIAL DISCLOSURE REPORT N . . ,e o f P e r s o n R e p o r l t .g I D a ~ : e o f R ~ p o r tPage 34 of 46 ~oovv, JR.,JAM~ S. ~ 0 4 / 2 9 / 2 0 1 0

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

D e s c r i p t io n o f A I S C l s i l n c o m o d u r i n g G r o s s v a l u e a t e n d Transitions during ~po~ing period( i n c l u d i n g t r u s ~ a ~ c t s ) ~ r e p o r t i n g p c f i ~ o f r c p o a i n g p e r i o d

i ( A : ~ ) o r i r a . ) ( J - P ) C o d e 3 r e d ~ m p t i o a )~ ( Q - W ) i ~ a n s a o t i o n )51 I. Sold 8/ I 3 / 0 9512. C l o s e d 9/18/09 K513. Sold 8 1 1 3 1 0 9 K

:514. Closed 9 / 8 1 0 9 K C5 1 5 . Sold 7/8/09 J516. Closed 8/13/09 J517. So ld 7 /8 /09 J

"~ 18 . Closed 8/13/09 K519 . Sold 5/15/09 J

"~20. Closed 7 /8/09 J D521. Sold 6/19/09 J522 . Closed 7/8 /09 J C5 2 3 . Sold 5/15/09524. "" Closed 6/19/095 2 5 . Sold 5/22/095 2 6 . Closed 6/19/09527. Sold 4/8/09


35/46

F I NANCI AL DI S CL O S URE RE P O RT r~ ....f Person Reporting Dat. of ReportPage 35 of 46 MOOOY, JR., J A M E S S . 0 4 / 2 9 / 2 0 1 0VII. INVESTMENTS an d T R U S T S -

i---] N O N E (No reportable income, assets, or transactions.)......................... Z--~ ..............., ........ ~ 5 . . . . . . . .. . . . . .i . . . . . . . . . . . : ................................. D ~ - ...........................Description o f A s s e t s l Income during [ G r o s s value at end Transactions during reporting p e r i o d

(includingtrust assets) reporting period ! ofreportingperiodi . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .l) i ~) ; . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .} {2} ~ 1 7 . . . . . . ,~ .......~) I~-T V ~ .......... ~ ) . . . . . . . . . . . . .Place"{X)"aftcreachasset [ A m o u n t ] Type(e.g., [ Va lue Value T y p e { e . g . , ! Da te i Va l u e G a i n I d e n t i t y e fexempt from prior disclosure i C ode 1 i div., rent, I Code 2 Method buy, sell , i m m /dd /y y ! COde 2 Code I buyer/seller (A-H) i orint.) ( J -P) Code 3 redemption) i (J-P) ( A-H) ( if private~ I (Q - W ) i transaction)

5 2 8 . C l o s e d 5 / 1 5 1 0 9 J C529. S o l d 4/8/09 J

530. Closed 5/15/09 J A5 3 I . Sold 3/24/09 J5 3 2 . Closed 5 / 1 8 1 0 9 J D5 3 3 . Sold 3/20/09 J534. Closed 4/7/09. J C5 3 5 . Sold 3 / 2 4 2 0 9 J5 3 6 . Closed 4/6/09 J C~ 3 7 . Sold 2/18/09 J538. C l o s e d 3/20/09 J5 3 9 . S o l d 2/I8/09 J5 4 0 . Closed 3/20/09 J5 4 1 . Sold 2/23/09 J5 4 2 . Closed 3/23/09 J B5 4 3 . Sold 2 / 2 4 1 0 9 J5 4 4 . Closed 3/23/09 J C


36/46

]Nomer P e r s o n R e p o r t in g [ D o t e o r R e p o r tF I N A N C I A L D IS C LO SU R E R EP OR T] l V l OOD, JR . , JAME S S. I

04/29/2010age 36 of 46

--"] N O N E (No reportable income, assets, or transa ctions.)A. i 13. 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 in g G r o s s v a ~ 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 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 a s s e t s ) i r e po rt i n g p er i o d o f r e po rt i n g p er i o d

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 t Value T y p e ( e . g . , [ D ate V alue i G ain I d e n t i t y o fe 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 I d i v . , r e n t , Code2 [ M e t h o d b u y , s e l l , !mm/dd/yy ! Code2 ;. Code I b u y 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 ) ( i f p r l v a t e( Q - W ) : t r a a s a e t i o a )5 4 5 . Sold 2/4/09 J5 4 6 . Closed 2/18/09 J C5 4 7 . Sold 2/2/09 J5 4 8 . Closed ~/18/09 J A549, Sold 2/4/09 J550. Closed 2/18/09 J B ~ ......5 5 1 . Sold 1 t 2 8 / 0 9 J

~ 5 2 . Closed 2 / 1 1 1 0 9 J C553. Sold 1 / 2 0 / 0 9 JI,554, Closed 2/2/09 .I B

:555. Sold 1 / 2 0 / 0 9 J556. Closed 2/2/09 J C5 5 7 . Sold 1 / 2 0 / 0 9 J5 5 8 . Closed 1 / 2 6 / 0 9 J C

5 5 9 . Sold 1 / 2 / t ) 9 J560. Closed 1 / 2 0 / 0 9 J D5 6 1 . Closed 1 / 2 / 0 9 J C


37/46

F I NANCI AL DI S CL O S URE RE P O RT r ~ , m ePage 37 of 46 MOODY , JR., JAMES S.

I04/29/2010

V II . IN V ES TM EN TS a nd TR U S TS - ~o , , .~ N O N E (No reportable income, a ssets, or transactions,)..................... ~T .............. ~ B. ~ c. o. .....................Description of A s ~ s l n e o m c d u r i n g ~ G r o s s v a lu e a t e n d T ~ n s a e t i o n s d u r i n g r e p o ~ i n g p e r i o d

(including t~st ~scts) reporting ~riod ] of repoaing period"~ i~ ---?~ ~ ~1~ ~) ~,~ ~ ~ ~) ~-~ ............ ~ T . . . .. . . .. .Place "(X)" a~er each ~set Amounl Type (e.g. , II V a l u e Value Ty~ (e.g., i Date Vahte ~ Gain ~ Identity ofexempt from priord~sclosur ~ C~e I div., rcn~ I Code 2 Method buy, sell, ~mm/d~ Code2 ~ Code I ~ buyedseller" ( A - r t ) o r i n t . } O P ) C o d e 3 r e d e m p t i o n ) ~ { J - P } ( A - H ) ~ i f p r v a ~ e

5 6 2 . Closed 1 1 2 1 0 9 J C5 6 3 . Closed 1 / 2 / 0 9 J B5 6 4 . Closed 1 1 5 1 0 9 J B5 6 5 . t" " Closed 1 / 2 0 / 0 9 J D5 6 6 . S o l d 12/28/09 J567. Sold 12/14/09 J568. S o l d 12/14/09 J~69. -- BB&T (Sell Call Options) S o l d 1 1 / 5 / 0 9 J

5 7 0 . Closed 1 1 1 5 / 0 9 J C571, Sold 9/8/095 7 2 . Closed 10/5/09 J B5 7 3 . Sold 6/19/09 J5 7 4 . Closed 9/8/095 7 5 . Sold 5/15/09

5 7 6 . Closed 6/19/09577. I .... Sold 4!17/09

Closed 5/15/09


38/46

FINANCIAL DISCLOSURE REPORT S . m , o f P e r s o . R e p o r t in g D a t e o f R l ~ p o r t P a g e 3 8 o f 4 6 M o o o v , J R., JAM IgS S. 0At/29/21) I 0

V I I . I N V E S T M E N T S a n d T R U S T S - ~ .~ o ,~ . v a f u ~ r~ n s a c ~ i ~ n s ( ~ . ~ *d ~ s ~ h ~ e s ~ n d d e p ~ n d ~ n t c h i~ d r ~ n ; s ~ p ~ 3 4 ~ 6 ~ ~ i n ~ in s ~ r ~ n ~N O N E (No reportable income, assets, or transactions.)

A . [ B. C. D.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 u r i n g G r o s s v a l u e a t c a d T r a n s a c t i o n s d u r i n g r c p o t a i n 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 c p o r t i n 8 p e r i o d o f r e p o t l i n g p e r i o d(0 i (~) (1) (2) (l) I (2) I (3) (4) /5 )P l a c e " ( X ) " a h e r e a c h a s s e t ~ A m o u n t I . T y p e ( e . g ., Value Value T y p e ( e . g . , I Dale ! Value G a i n I d e n t i t y o fe 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 I t d i e . , r e a l , C o d e 2 M et h o d b u y , s e l l , i m m / d d /y y [ C o d e 2 C o d e 1 b u y c r / s d h : r: (A-H) i o r i n t . ) ( J - P ) Code3 r e d e m p t i o n ) i (j.p) ( A - H ) ( i f p r i v a t c

579. ....Sold 4/3/09 J580. " ....Closed 4/17/09 J

, " ~ 8 1 . Sold 3/24/00 J]582, Closed 4 1 3 / 0 9 J A

5 8 3 . Sold 2/18/09 J5 8 4 . Closed 3/20/09 J B585. Sold 2/18/09 J586. Closed 3/20/09 J A5 8 7 ~ Sold 1 / 2 3 / 0 95 8 8 , Closed 2/18/09

5 8 9 . Sold 11/20/095 9 0 . MORTG AGE REC. #2, W imauma, FL A lnl./Div. Matured 6/30/09

-591. ~TRUST,qVIERRILL LYNCH E lnt./Div. O T59Z ....- Bank of Amedca Bu y 1 / 3 0 / 0 9(addl)1593. BAC (Sell Call Options) Sold 10/16/09" ~ 9 4 . Closed 1 / 2 3 1 0 9

5 9 5 , Sold 7/30/09


39/46

Page 39 of 46 M O O O Y , J a . , J A M E S S . 0 4 / 2 9 / 2 0 1 0V I I . I N V E S T M E N T S a n d TRUSTS-~n,o.e, , .t~, ,, . ., ,~cno.sa~a~ a,~tho~.o:~ou s,.~za,~,~aeo, ,~ua, ,~. ,~ ~-~0o:~.~.~,io~.)

N O N E (No reportable income, a ssets, 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 a c 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 r l i r lg 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 ) i r e po rt i n g p e r i o d o f r e po rt i n g p er i o di (D (2 ) (0 (2 ) (i } 1~) , (3) : O) (5 )P l a c e " i X ) " a f t e r e a c h a s s e t I Amount T ype (e.g., V alue V alue T y p e ( e . g ., ! Date Value Gain I d e n t i t y 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 ~ [ d i v . , r e n t , Code2 M e t h o d b u y . s e l l , ,mln/dd/yy j Code2 ! Code I buyerlsclleri (A-H) ,[ o r i n t . ) ( J -P) C o d e 3 r e d c m p l i o n ) " (J-P) , { A - H ) [ifpriwuei I I i I m n s a c r i e n )......................................................... L ....... _J- ........ ( Q - W ) i , ~ .................

5 9 6 . Closed 9/I 8/09 J5 9 7 . S o l d 7 / 3 0 / 0 9 J

5 9 8 . Closed 9/18/09 J5 9 9 . Sold 8 / 2 1 ! 0 9 J600. Closed 9/18/09 J

6 0 1 . Sold 7 1 3 0 / 0 9 J6 0 2 . Closed 8/21/09 J6 0 3 . Sold 6~4/09 J604, Closed 7/20/09 J 1 3605. Said 5/15/09 J6 0 6 . Closed 6/19/09 J A607. Sold 5 1 1 5 / 0 9 J6 0 8 . Closed 6 1 1 9 / 0 9 J6 0 9 . Sold 4 1 1 7 / 0 9610. Closed 5/15/09 J B6 1 1 . Sold 4/17/09 J6 1 2 . Closed 5/I 5/09 J B


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Jame of Person Reporting Date of IReporF I N A N C I A LD I SC L OS U R E R E POR T] ~oo~v, ~., aAM~S S. o4/2~/20P a ge 40 o f 46

V I I . I N V E S T M E N T S a n d T R U S T S - ~ c o m e , ealue, transu,*ions (intludesthas of sp ...... ,d dependent children: set pp. J4-60of f!lfng instructions~)N O N E (No reportable income, assets, or transactionsO

A . B , C. D .Dcsc6pfon of As~ Income during Gross value at end Tmn~ctions d~ing repo~ing pcri~

(including trhst assets) rcpo~ing pcri~ of~po~ing period

Place "(X)" al~cr each asset + Amunt Type (e.g. , V a l u e II Value Typ (e.g, , ! Data V a l u e ! Gain : Identity ofC a d e t" ( A - H) orint.) (J~P) i{ C~3 redemption) [ (J-P) (A-H) ~ (ifprlvatc

[ (Q - W) [ ~ ~ t~nsaction)...... ~ ........ ~ ...........L ..........~ ........................

613. S o l d 4/17/09 J

6 1 4 . C l o s e d 5 / 1 5 1 0 9 J A! 6 1 5 . S o l d 3 1 1 6 / 0 9 J

616. C l o s e d 4/17/09 J617. S o l d 3 1 2 3 / 0 9

618. C l o s e d 4 1 1 7 1 0 9

i619. S o l d 3 1 1 6 / 0 9 6 2 o . ..... C l o s e d 4/17/09621. -- BB&T B u y 1 / 2 3 / 0 9622. B u y 1 / 2 3 / 0 9( a d d l )"623. Buy 2/23/09

( a d d l )624, B u y 10/19/09( a d d l )625. - - B B & T ( S e l l C a l l O p t i o n ) S o l d i 1 0 / 1 9 ] 0 9

" ~ 2 6 . C l o s e d 11/23/09627. S o l d 9 1 1 8 / 0 9 J628. C l o s e d I 0 / 1 6 / 0 9 J B

S o l d 8/21/09 J


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F I NANCI AL DI S CL O S URE RE P O RT N a m ~ n f P e r sn n R e p o r t in g D a t e a ( R e p o r tPage 4 1 of 46 M O O D Y , JR., J AME S S . 0 4 / 2 9 / 2 0 1 0

~ N O N E (No reportable income, assets, or oans actions.)D e ~ r i p ti o n o f A s ~ t s ~ I n c o m e d u r in g G ross val~ at end Transactions during reining period( i n c l u d i n g t r u s t a s s e ~ s ) ~ reining period of re~ing pound

P l a c e " ( X ) " a f t e r e a c h ~ s e t A m o u nt T yp e (e .g . , Value Value T y p e ( e . g . , ~ Date Value G a i n ldcati~ of~ x e m p t f r o m p r b r d i s c lo s u r e ; C o d e I d i v . , ~ n t , C o d e 2 Mcth~ b u y , s e l l , ) m ~ d ~ y y C o d e 2 C~ ~ buycdsellcr~ ( A - H ) o r h ~ . ) ( J - P ) C~e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t ct r a n s a c t i o n )Q - W )

630. Closed 9/ f 8 ~ 0 9 J631. Sold 7/30/~ J632. ~ C!osgd 8/21/09 J633. Sold 4/17/09 J634. Closed i 6/18/09 J D635. Sold 3/16/09 J6 3 6 , Closed" 4/17 /09 J637. Sold 3/23/09 J638. Closed 4/17/09 J639. -- Exxon Mobil Corp Bu y 12/18/09 K640. -- Home Depot641. -- Home Depot (Sell Call Options) Sold 4/24/09 J642. Closed 6/22/09 J B643. -- SunTrust Bu y 1 / 3 0 / 0 9 J

6 4 4 . Bu y 2/I0/09 J(addl)645. Bu y 1 2 / I 7 / 0 9 g(add0646. -- W e ll s F a rg o & C o Bu y 6 1 1 8 / 0 9 K(addl)


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F I NANCI AL DI S CL O S URE RE P O RT ~ . 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 tPage 42 of 46 MOODY, JR, , JAMES S. 04~9/2010

-"-] N O N E (No reportable income, a ssets, or transactions.): ...... A. ~ B. C. D.Description of Assets [ Income duriag G ross valuo at end Transactions during reporting period

reporting period of reporting period ..........( inc lud lug trus tassc ts );i (|), ~ (2) (I) (2 ) (1 ) [ 12) i (3) ] (4) ....Place "(X)" after eaeb asscl ] Amo~nl i Type (e .g . , V a lu e V a ]u ~ Type (e.g., i Dat~ ~ V~lue G a in Id e ,tity o fexempt from prior diselosme C o d ~ l ] d i v . , r c m , C o d ~ 2 M e th o d ~ b uy, se ll, im m /dd /yy ! C ode 2 C ode I bu ye rlse llc~i (A - H ) or int.) ~ J - P ) Cod~ 3 r edempt io , ) I (I-P) (A - H ) (if private ~ I i L.................... ~ J I ( Q - W ) ! ?i trans..or ion)

647 . Sold 5118109 K C(part)

! 648, -- Wells Fargo (Sell Call Options) Sold 10/16/09 [""649 . Closed 11/23/09 J B650. Sold 8/21/09 J651. Cloud 9/18/09 J A652. Sold 3/16/09653. Closed 4117/09 J654. -- Calamos

655 . -- Allied Capilal Corp B uy 1/30/09 J656, -- Annaly Cap Mgm! B uy 10/20/09 K.

"-657. -- Citigroup

65~. -- Iohns~n & Johnson B uy 1/23/09 K(add l)659. -- Pfizer Inc.

660. -- Regions Financial661. -- Saint Joe Company Sold 5/18/09 K B(part)L662. -- Colonial Bank Sotd 12/9/09

-- UST Inc. Sold 1/6/09 K E


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P a g e F I N A N C I A L 4 3 o f 4 6 D I S C L O S U R E R E P O R T

---] NONE ~o reportable income, assets, or transactions.)A. B. C. D. ............................Dcscripfion of As~ ~ Income during Gross v alue at end Tmnmctions during reporting pcri~(including t~st assets) ~ ~ning ~ri~ of reposing period ...................I, (I) i (2) (I) ~:" (I) i (2) i j3) i (4)Pl~e"lX)"aft~rcachassct ~Amoun/7 Ty~(c.g., Valu~ V~luc Type(e.g., i Date {Value i Gain Idcnii~of ,cxemp~ from prior di~losurc [ C~e I ] div., rent, Code 2 M e~h ~ buy, sell, I m~d~ ~ Code 2 Code 1 buyer/selleri(A-H) i or inl.) (J-P) C o d e 3 redempt ion) i (J-7) ;(A-H)L

664. "- STI (Sell Call Optiom) Sold 12/9/09 J

"665 . Closed t~21/09 J666. Sold 9/18/09 J

667 . Closed 10/I 9/09 J B668 . Sold 9/18/09 J669. Closed 10/19/09 J C670. Sold 8/21/09 J67 1 . Closed 9/18/09 J

Sold 7/30/09 J673. Closed 8/21/09 J

674 . Sold 7/8/09 J675 . Closed 8/21109~76. Sold 6~2/09 J

67 7 . Closed 8/21109 J6 7 8 . Sold 4117/09 J

~79. Closed 7/~09 J B680 . Sold 4/17/~ J


44/46

F I NANCI AL Name of Person ReportingISCLOSURE R E POR TI MOODY , JR., JAME S S.

0 4 / 2 9 1 2 0 1 0age 44 of 46

--] N O ~ (No reportable income, assets, or transactions.)A. B. C. D .Description of Asse~ Income during Grass value at end Transactions during ~ning ~riod(including trust ~sets) re~ing period of repoging period

Place"~X)aficreaeh~set ~Amount~ Ty~(e.g,, Val~ Value Type(e.g., ~ Dzle [ Value ? Gain ldentityoexempt frompr~ordisclosu~ ~ Code I [ div.,mnt, Code2 Method buy, sell, ~m~d~yy : C~e2 ~ C~e I buycrfseI ler

~(A-H) ~ orint.) O-P) C~e3 redemption) ,~ ~ (J-P} ~ (A-H) (ifpriva~e[ [ (Q-W) [ ~ ~ transaelion)~8 1 , Closed 5/18/09 J B~8 2 . Sold 4/17/09 J6 8 3 Closed 5/I 8/09 J684~ " Sold 3/23/09 J685, Closed 4117/09 J

6 8 6 . - .... Sold 3/23/09 I j687. Closed 4 1 1 7 / 0 9688. I Sold 2/26/09 J689. Closed 3/23/09 J B


45/46

FI N A N C I A L D IS C L OS U R E R E PO R TPage 45 of 46Vlll. ADDITIONAL INFO~TION OR E~LANATIONS,

Part VII Information & Explanations:

All W ells Fargo positions are a result of the acquisition of WaehoviaLine #94 on 2008 report for Calamos reflected partial sales. The entire Cala,nos position was disposed of during 2008.Line #157 on 2 008 report for WaI-M art reflected partial sale. The entire WaI-Mart position was disposed ofduring 2 0 0 8 ,Several call options were sold at the end of 2008 that were inadvertently not reported,


46/46

FI N A N C I A L D I SC L OS U R E R E PO R TPage 46 of 46 MOODY, JR. , JAMES S.I

04/29/2010

I X . CE RT I F ICAT I O N .I certify that all information given abov e (including information pertaining to my spouse and m inor or dependent children, if any) isaccurate, true, and com plete to the best of my knowledge and belief, and that any information not reported was withheld because it m et applicable statutoryprovisions permitting non-disclosure.I further certify that earned income from o utside employment and honoraria and the acc eptance of gifts which have been reported are incompliance with the provisions of 5 U.S.C. app. 501 et. seq, 5 U.S.C. 7353, and Judicial Co nference regulations.

NOTE: ANY iNDIVIDUAL WHO KNOWINGLY AND WILFULLY ~IVILAND C RIMINAL SANCT IONS (5 U.S.C. app. 104)

F I L IN G I N S T R U C T I O N SMail signed original and 3 add itional copies to:

Com mittee on Financial DisclosureAdm inistrative Office of the United States CourtsSuite 2-301One Columbus C ircle, N.E.W ashington, D.C. 20544

Documents

James S Moody Jr Financial Disclosure Report for 2009