Joe A Fish Financial Disclosure Report for 2010

8/3/2019 Joe A Fish Financial Disclosure Report for 2010

1/8

AO 1 0Rev. 1/2011FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 201 0Report Required by the Ethicsin Government Act o f 1978(5 U.S.C. app. I01-111)

I. Person Repor ting ( las t name, f ir s t , middle init ial)Fish, Al len J .

4. Tit le (Art ic le I I I judges ind ica te act ive o r sen io r s ta tus;m a g i s t r a t e j u d g e s indicate fu l l - or pan- t ime)

Uni t ed Sta t e s Di s t r i c t Judge (Senior )

7 . C h a m be r s o r Of f i ce A d d r e s s1 1 0 0 C o m m e r c e S t r ee tSu i t e 1404Dal l a s , Texas 75242

2. Court or Organizat ionUnited States Dis tric t Court , Northern Dis tric t of Texas

3. Date of Repor t05/15/201 I

5a. Report Type (check appropriate type)] N o m i n a t i o n , D a te[] Initial [] Annual [] Final5b. [] Amended Report8.On the basis of the information contained in this Report and any

modifications pertaining thereto, it is, in my opinion, in compliancewith applicable laws and regulations.

6. Repor t ing P e r iod01/01/2010

to12/31/2010

Revievdng Office r Date

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

I . P O S I T I O N S . (Reporting individual only; see pp. 9-13 of filing instructions.)~ (No reportable positions.)ONE

POSITION N A M E O F O R G A N I Z A T I O N /E N T I T Y

2.3.4.

5.

I I . A G R E E M E N T S . ~ R e p o r t i . g i .d i v ~ d u a l o n t y ~ ~ee VV . 14-16 of filing instructions.)~ N O N E (No reportable agreements.)

D A T E PARTIES AND TERMSI . 2010 S M U D ed m a n S c h o o l o f L a w - te a c h in g fa l l te rm 20 102.3.


2/8

FINANCIAL DISCLOSURE REPORTPage 2 of 8

N a m e o f P e r s o n R e p o r t in gFish, Alien J .

Date of Report05/15/2011

II1. N O N - I N V E S T M E N T I N C O M E . ~ R e p o .i n g individual and spouse; see pp. 17-24 offiIing instructions.)A. Filers Non-Investm ent Incom e

~ (No reportable income.)ONE non-investmentD A T E S O U R C E A N D T Y P E I N C OM E(you r s , no t spou se s )

I . 2010 S M U D ed m a n S c h o o l o f L a w - te a c h in g $40,000.002.3.4.

B . S p o u s e s N o n - ln v e s tm e n t I n c o m e - If you were married during any port ion of the reporffng year, complete this sect ion.(Dollar a m o u n t not required except for honoraria.)

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

I . 2010 S t. Jo hn s E p is co p a l S ch o o l- -S a la ry2.3.4.

I V . R E I M B U R S E M E N T S --transportation, lodging, food, entertainment.(Includes those to spouse and dependent children: see pp. 25-27 of fi l ing instructions.)

~] (No reportable reimbursements.)ONE

2.3.4.5.

SOURCE DATES LOCATION PURPOSE ITEM S PAID OR PROVIDED


3/8


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

D a t e o f R e p o r t05/15/201 I

V . G I F T S . (includes those to spouse and dependent children; see pp. 28-31 of firing instructions.)N O N E (No reportable gifts.)

SOURCE DESCRIPTIONI.2.3.4.

5.

V A L U E

V I . L I A B I L I T I E S . a n e l u d e s , h o s e o l sp o . s e a n d d e p e n d e n t chi ldren; see pp. 3 2 - 3 3 of filing instructions.)N O N E ( N o reportable liabili t ies.)

CREDITOR DESCRIPTIONI.2.3.4.5.

V A L U E C O D E


4/8


N a m e o f P e r s o n R e p o r ti n gFish, Alien J.

Date of R e p o r t05/15/2011

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

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g( in c lu d i n g t ru s t a s se ts ) r e p o r t i n g p e r io d

0) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt fromprior disclosure Code I d i v . , r e n t ,( A - H ) or i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d( t ) ( 2 )

V a lu e V a lu eC o d e 2 M e t h o d(J-P) C o d e 3

( Q - W )

O)Type (e.g.,

buy, s e l l ,r e d e m p t i o n )

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 ~ r i o d

(2) (3) (4)D a t e Value Gain

mm/dddyy Code 2 C o d e I(J-P ) (A -H)

( 5 )I d e n t i t y o f

b u y e r / s e l l e r( i f p r i v a t e

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

1 . Texas Federal Credit Union Accounts, A DividendDallas, TX2. Guardian Ins. & Ann. Co. deferred annuity

3. -Guardian Stock Fund A Dividend

4. -Centurion Fund A Dividend

L T

Sold 03/09/10 K E

Sold 03/09/10 J A

5. TI AA-CREF de fe r red annu i ty6. - C R E F S t o c k F u n d A Dividend Sold 04/14/10 J A

7. -TIAA Real Estate Fund A Dividend8. -CREF Inflat ion Linked B ond Fund A Dividend

9. IRA #1

TSold

B uy(addl)

04114/1004/14/10

J

J

A

I0 . -Vanguard Total Stock M kt Index Fund A Dividend( VTS M X)I1 . -Vanguard Inflation Protected Securities A DividendFund (V IPSX)12. IRA #2

K T

K T

1 3 . -Van g uard To ta l S to ck Mkt In d ex Fun d A Dividend( V T S M X )1 4 . -Van g uard In f la t io n Pro tec ted Secur i t i es A DividendF u n d ( V I P S X )15. IRA #3

J

.I

TT

1 6 . -Van g uard To ta l S to ck Mkt VIPERS (V l l ) A Dividend1 7 . - iS h a r e s T I P S B o n d F u n d ( T I P ) A Dividend

JJ

T So ld 10/12/10(par t)T Bu y 10/12/10(ad d l )

JJ

A

I. In co m e G ain Co d es: A = $1,000 o r less B = $1,001 - $2,500 C = $2,501 - $5,000 D = $5.001 - $15,000{ Se e C ol um n s B I a nd IM ) F :$50, 001 - $ 100,0 00 G :$ 100,001 - $ 1,00~.0OO H I =$ 1.0~.001 - $ 5.1~) .0OO H2 =More than $5,000.00~

2 . Valu e Codes J -$15.000 or less K =$15,001 - $50,000 L =$50,001 - $100,000 M =$ 100.001 - $250.000{ S e e C o l u m n s C I a n d D 3 ) N =$250,001 - $500,000 O =$500,001 - $1,000,000 PI = $1.000,001 - $5,000,000 P2 -$5,000,001 - $25,000.000

P 3 = $25,000,001 - $50.000.000 P4 = More than $50,000.0003 . Valu e Method Codes Q :A ppr a i s a l R :Cos t ( R eal Es t a t e Only ) S = A s ~ s s m c n t T = Cas h Mar k et(Se e Co lumn C2) U = B ook Valu e V -Chhcr W = Es t imated

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


5/8


N a m e o f P e r s o n R e p o r ti n gFish, Allen J.

D a t e o f R e p o r t05/15/2011

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 instructionx)NO NE (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s Income dur ing( 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

0)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure Code ] d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(l) (2)

V a lu e V a lu eC o d e 2 M e t h o d(J-p) C o d e 3( Q - W )

Type (e.g.,buy, s e l l ,

r e d e m p t i o n )

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

(2) (3) (4)Da te V a l u e G a i n

m m /d d/y y C od e 2 C o d e I( J - P ) ( A - H )

I d e n t i t y o fbuyer/seller( i f p r i v a t et r a n s a c t i o n )

1 8 .

20 .21 .22 .

23 .24 .25 .26 .27 .

- iSha res EAFE I ndex Trus t (EFA)- V a n g u a r d R E I T V I P E R S ( V N Q )- S P D R S e l e c t S e c to r - E n e r g y ( X L E )-Amer ic an Centu ry I n t l Bond Fund(BEGBX)- iShares FTSE Xin hua Ch in a 25 (FX I)

A D ivid en dA Dividend

A D ivid en dA D ivid en dA D ivid en d

J

J

J

J

J

T Bu y 10/15/10(ad d l )T So ld I O / 1 2 / I 0(par t)T Bu y 1 0 1 1 2 1 1 0

(ad d l )T Bu y 10115/10(ad d l )T

JJJJ

A

- iShares Russe l l 1000 Value T rus t ( IWD )-iShares Russe l l 2000 Value T rus t ( IWN)- i S h a re s E A F E V a l u e I n d e x T r u s t ( E F V )V a n g u a r d E m e r g i n g M a r k e ts V I P E R S( V W O )SP DR G old Trus t Gold Sha res (GL D)

A D ivid en dA D ivid en dA DividendA D ivid en d

N o n e

JJJJJ

T Bu y 10/12/10(ad d l )T So ld 10/12/10(par t )T Bu y 10/15/10i(ad d l )T So ld 10/12/10(part )T

JJ

JJ

A

A

28. IRA #4

29 . - V a n g u a r d T o t a l S t o c k M k t V I P E R S ( V T I )30 . - iSha res TI P S Bond Fund (TI P )31 . - iSha res EAFE I ndex Trus t (EFA)32 . - V a n g u a r d R E I T V I P E R S ( V N Q )

33 . - S P D R S e l e c t S e c to r - E n e r g y ( X L E )34 . - iShares FTSE Xin hua Ch in a 25 (FX I)

A D ivid en dA D ivid en dA D ivid en dA DividendA DividendA Dividend

J

JJJJJ

T

T

T

T

T

T

I. In co m e G ain C od es : A = $1,000 or less B = $1,0~1 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000( se e Co lumn s BI a n d D4) F = $50.001 - $100,000 G =$100,001 - $1,000,000 111 =$1,00~.001 - $5,000.000 [t2 =More tha n $5,000.1~0

2. V alu e Co d es J = $15,000 or le ss K -$15,001 - $50.000 L =$50.001 - $ 100.000 M = $100.001 - $250,00~(Se e Co lumn s CI a n d D3) N =$250.001 - $500,000 O =$500,001 - $1,000,000 P I = $1 ,0 00 .0 ~1 - $5 ,0 00 .0 ~) P 2 -$ 5, 00 0, 00 1 - $2 5, 00 0. 00 0

P3 =$25,000,001 - $50.090.000 P4 =Mo re than $50.000.0003 . Valu e Method Codes Q =Appraisal R =C o s t {Rca l Es ta te On ly) S = A s s es s ment T = Cas h Mar k etI S e e C o l u m n C 2 ) U = B ook Valu e V = Other W = Es t imalcd

E =$15,001- $50,000


6/8


N a m e o f P e r s o n R e p o r t in gFish, Allen J.

D a t e o f R e p o r t0 5 / 1 5 / 2 0 1 1

V I I . I N V E S T M E N T S a n d T R U S T S -i.co.,e, valu e , t r an s ac t ion s ( I n c lu des th os e o f s pou s e a n d dep en den t ch i ldr en ; s ee pp . 34 -60 of f il in g in s t r u c t ion s . )[~ N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Incom e d urin g G ro ss va lue a t en d Tran saction s during reporting period( inc luding t rus t asse ts ) reporting period of reporting period

( 1 ) ( 2 ) ( I ) ( 2 ) ( I ) ( 2 ) ( 3 ) ( 4 ) ( 5 )P lace "(X)" after each asset Am ount Type (e.g., Va l u e Va l u e Type (e.g. , D a t e Value . Gain Identity of

exempt f rom pr ior d isc losure C o d e I div., rent, Code 2 Method buy, se l l , m m / d d / y y C o d e 2 i C o d e I buyer/ se l le r(A-H) o r i n t . ) ( J - P ) Code 3 redem ption) ( J - P) [ ( A- H ) ( i fp r iva te(Q-W) [ transaction)

35. Exxon Mobi l Common Stock (XOM) A Dividend K36 .

37 .

I N G USA Annui ty & L i fe I ns uranc eCompany de fe r red annu i tyAviva Life & Annuity Com pany d eferredannuity (X)

B I n t e r e s t

D I n t e r e s t M

B uy 03/20/10 K

B u y 05/25/10 M

I . Income Gain C o d e s : A = $ 1 , 0 ~ 0 or loss 13 =$1.001 - $2 ,500 C =$ 2 ,501 - $5 ,000 D =$5,001 - $ | 5,000(S ee C o lu m ns BI a n d D 4 ) F = $50.001 - $100.000 G ~$100.001 - $1.000.000 HI = $1,000,001 - $5,000,000 H 2 = M o r e t h a n $ 5 . 1 ) 0 0 . 1 0 0 0

2. V alu e Co des J = $15,000 or less K =$15.001 - $ 50.000 L =$50,001 - $ 100,000 M =$100,001 - $250.000( S e e C o l u m n s C I a n d D 3 ) N =$250.001 - $500,000 O = $5 00 .0 01 - $ 1.0 00 .0 00 P I = $1 .0 00 ,0 01 - $ 5, 00 0, 00 0 P2 =$5,000.001 - $25,000.000

P3 -$25,000.001 - $50.000.000 P 4 = Mo re than $50,000,0003 . Valu e ~tc lhod Codes Q =Appraisal R ~Cos t ( R eal Es t a t e Only ) S = A s s cs s mcnl T - C a s h M a r k e t( See Colu mn C2 ) U = B ook Valu e V = Other W = Es t imated

E = $ 1 5 , 0 0 1 - $ 5 0 . 1 3 0 0


7/8

IFINANCIAL DISCLOSURE REPORT Na,~e o f P e r s o n R e p o r t in g I Date of Repor~P a g e 7 o f 8 Fish , A l ien J "I

05/15/2011

V III. ADDITIONAL INFORM ATION OR EXPLANATIONS. (ln,ticateparto/report.)I . The i t ems rep o r ted in p arag rap h VII ( I ) a re c red i t un io n acco un ts . D eta i l ed t ran sac t io n a l d a ta a re n o t be in g p ro vid ed in acco rd an ce wi th the in s t ruc t io n s .

2 . The ad d i t in a l shares in p arag rap h V II (8 ) were p urchased wi th the p ro ceed s o f the sa les rep o r ted in p arag rap hs VII (6 ) an d (7) .3 . The ad d i t io n a l shares in p arag rap hs V 11(17) , (18) , (20) , (21) , (23 ) , an d (25) were p urchased wi th p ro ceed s o f the sa les rep o r ted in p arag rap hs V II (16 ) , (19) ,(24) , and (26) .4. The d efer red an n ui ty rep o r ted in p arag rap h V l l (36 ) was p urchased wi th the p ro ceed s o f the sa le o f the d efer red a n n ui ty rep o r ted in p arag rap hs V II (3 ) an d (4) .5 . The d efer red an n ui ly in p arag rap h VII (37) was p urchased w i th p ro ceed s o f the Thr i f t Savin g s P lan acco un t wh ich has been , in acco rd an ce wi th the in s t ruc t io n s ,nonrepor t ab le .


8/8


Name of P e r son Repor t ingFish , A l len J .

Date o f Report05/15/201 I

IX. CER TIFICATION.1 c e r t i f y t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i s

a c c u r a t e , tr u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s ~ v i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a t u t o r yp r o v i s i o n s p e r m i t t i 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 i f y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q , 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signatur e: S/Allen J. Fish

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S IF I E S O R F A I L S T O F I L E T H IS R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S . C . a p p . 10 4 )

C o m m i t te e o n F i n a n c i a l D i s c l o s u r eA d m i n i s tr a t ive O f f ice o f t h e U n i t e d S t a t e s C o ur t sSui t e 2-301O n e C o l um b us C i r c le , N . E .W a s h i n g t o n , D . C . 2 0 5 4 4

Documents

Joe A Fish Financial Disclosure Report for 2010