Jones Ill, John E.€¦ · Sa. Report Type (check appropriate type) D : Nomination, Date : D : Initial ] Annual : D : Sb. D : Amended Reon : Final : 6. Reporting Period . 01/01/2010

2.

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

JONES Ill. JOHN E.

2. Court or Organization

US COURT-MIDDLE DISTRICT OF PA

3. Dale of Report

05/09/2011

4. Title (Article Ill judgrs indicate active or senior status; magistrate judges indicate full- or pan-time)

US DISTRICT JUDGE

Sa. Report Type (check appropriate type)

D Nomination, Date

D Initial [{] Annual D Sb. D Amended Repon

Final

6. Reporting Period

01/01/2010

to

12/31/2010

7. Chambers or Office Address

228 WALNUT STREET

HARRISBURG, PA 17108

8. On the basis of the information contained in this Report and any

modifications pertaining thereto, it is, in my opinion, in compliance

"ith applicable laws and rrgulations.

Revirmng Officer Dair

Report Required by the Ethics FINANCIAL DISCLOSURE REPORT AOIO in Go1·ernment Act of 1978

Rev. 112011 FOR CALENDAR YEAR 2010 (5 U.S.C. app. §§JOI-I I I)

IMPO RT ANT NOTES: The instructions accompanying this form must be followed.. Complete all parts,

checking the NONE box for each part where you have no reportable information. Sign on last page.

I. POSITIONS. (Reponing indfridual only; supp. 9-13 of filing instructions.)

D NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

I.

2.

3.

4.

5.

II. AGREEMENTS. (Reponing individual only; supp. 14-16 of filing instructions.)

D NONE (No reportable agreements.)

PARTIES AND TERMS

I. 2002 THE STATE EMPLOYEES RETIREMENT SYSTEM (PENNSYLVANIA) FORMER EMPLOYER - VESTED

PENSION

Jones Ill, John E.

3.

4.

Page 2of16

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

05/09/2011JONES III, JOHN E.

III. N 0 N-INVES TMENT IN CO ME. (Reponing individual and spouse; see pp. 17-24 of filing instructions.)

A. Filer's Non-Investment Income

[{] NONE (No reportable non-investment income.)

SOURCE AND TYPE INCOME (yours, not spouse's)

I.

2.

3.

4.

B. Spouse's Non-Investment Income - l/J·ou were married during any ponion of the reponing year, complete this section.

(Dollar amount not required except for honoraria.)

[{] NONE (No reportable non-investment income.)

SOURCE AND TYPE

I.

2.

3.

4.

IV• REIMBURSEMENTS - transportation, lodging.food, entenainmenL

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

NONE (No reportable reimbursements.) D SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

I. UTAH VALLEY 2/17-2/19 OREM, UT LECTURE AIRFARE, HOTEL, MEALS, AND UNIVERSITY PARKING

2. MEREDITH UNIVERSITY 3/22 - 3124 MEREDITH, NC LECTURE MILEAGE, HOTEL, MEALS, AND

PARKING

3. NEW YORK 3/26 - 3127 NEW YORK, NY LECTURE MILEAGE. HOTEL. MEALS, AND INTELLECTUAL PARKING PROPERTY LAW ASSN.

WHITE HORSE VILLAGE 4/1-4/2 GRADYVILLE, PA LECTURE MILEAGE. HOTEL, AND MEALS

5. VINCENNES UNIVERSITY 9/13 - 9/14 VINCENNES, IN LECTURE AIRFARE, HOTEL. MEALS, AND

PARKING

Dale of Report Name of Person Reporling FINANCIAL DISCLOSURE REPORT

Page 3of16 05/09/2011JO!llES Ill, JOHN E.

6. ILLINOIS COLLEGE 9117- 9/18 JACKSONVILLE, IL LECTURE AIRFARE, HOTEL, MILEAGE,

MEALS, AND PARKING

7. AMERICAN CONFERENCE 9/29 - 9130 NEW YORK, NY LECTURE MILEAGE, HOTEL, MEALS, AND

INSTITUTE PARKING

8. AMERICANS FOR 11/13 - 11/14 WASHINGTON, DC LECTURE HOTEL, MILEAGE, MEALS, AND

SEPARATION OF PARKING CHURCH AND ST A TE

FINANCIAL DISCLOSURE REPORT

Page 4of16

Name of Person Reporting

JONES Ill, JOHN E.

Date of Report

05/09/2011

V. GIFTS. (Includes those to spouse and dependent children; supp. 18-31 of filing instructions.)

[{] NONE (No reportable gifts.)

SOURCE DESCRIPTION VALUE

I.

2.

3.

4.

5.

VI. LIABILITIES. (Includes those of spouse and dependent children; see pp. 31-33 of filing instructions.)

[{] NONE (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE

I.

2.

3.

4.

5.

-----: --:"'. ]

- ..

' - .. ·-··-"--· ·:-------· -]

J .•.

.'-'\.

j ]

.. ·--- .·•, .J

.. J

·: ;c ii'.-:L. :,J

-:: ! fA? f.::::_'. j

. .. .. :. J .. ,

L •• L -- : __ : J . : ' : •;f,•1

Page 5of16

FINANCIAL DISCLOSURE REPORT Name of Person Reporting

JONES Ill, JOHN E.

Date of Report

05/09/20 1 1

v I I. IN v Es TM EN TS and TR us TS - income, •·alue, transactions (Includes those of spouse and dependent children; SU pp. 34-60 of filing ins/ructions.)

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

A. B. c. D.

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

(including trust assets ) reporting period ofreporting period

I.

2.

3.

4.

5.

6.

7.

8.

9.

10.

1 1.

12.

13.

14.

15.

16.

Place "(X)" after each asset

exempt from prior disclosure

-- -

----- -

·-·---

,-..,,..,· .... . , - -. ----

.. , .. ,, _ · ____

•. . . -

. . ' --·

"·< -

- . -y-0 "• -- - •U,. •

·' ,__ , ........ ..............

. ...

,--•

' ,_; .... •--'

·- - _. "---

__ ; ...

NATIONWIDE-ANNUITY

UNION BANK & TRUST CO.-

CHECKING

QUALITY VENDING INC-50%

INTEREST

LOAN RECEIVABLE-PHOENIX

CONTRACTING

UBPTE-COMMON STOCK (UNION

BANCORP INC (UBPT.PK))

DREYFUS BALANCED OPPORTUNITY

FUND CLASS A

PENN NATIONAL GAMING - COMMON

STOCK

OPPENHEIMER GLOBAL FUND A -

MUTUAL FUND

(I) (2) (I ) (2) (I)

Amount Type (e.g., Value Value Type (e.g., Code I div., rent, Code 2 Method buy, sell, (A-H) or int.) (J-P) Code 3 redemption)

(Q-W)

A Distribution 0 w

A Distribution N w

A Dislribution 0 w

A Distribution M w

A Distribution N w

A Dislribution K w

None J w

A Distribution M w

A Interest J T

A Interest K T

D Distribution L w

D lnlerest M T

None Sold

A Dividend Sold

None J T

A Dividend Sold

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

mm/dd/yy Code 2 Code I buyer/seller

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

transaction)

0 1/04/ 10 J

07/20/ 10 J

07/20/ 10 J

I. Income Gain Codes: A =$1,000 or less B =S 1,00 I -$2,500 C =S2,501 -S5,000 D=S5,00l -Sl5,000 E =Sl5,00I -$50,000

(Sec Columns Bl and 0-l) F =$50.001- SI00.000 G =SI00,001 -Si,000.000 HI =Sl,000.001-$5.000.000 H2 =More than $5,000,000

2. \'aluc Code-. J =S 15.000 or l.:ss K =$15,001 -$50.000 L =$50,00 I -SI 00.000 M =SI00,001 -$250.000

(Sec Column, Cl and DJ) N s250.001 - s5oo.ooo 0 =$500.00 I -S 1,000,000 Pl =Sl.000.001 -$5.000,000 P2 =$5,000,001 -$25,000,000

PJ =$25.000.001 - $50.000.000 P =More than $50.000.000

3. Value Me1hoJ Colks Q =ApprJi,;il R =Cost (Real E 1a1c Only) S =A s mcnt T =Ca h Market (Sec Column C ) U =Book Value V =Other \V =E t1m;ited

A. B.

(I) (4) (5)

(Q-W)

Page 6of16

FINANCIAL DISCLOSURE REPORT Name of Person Reporting

JONES III, JOHN E.

Date of Report

05/09/2011

v II. IN v EST M ENTS and TR us TS - income, i•a/ue, transactions (Includes those of spouse and dependent children; SU pp. 34-60 of filing instructions.)


Description of Assets Income during

c. D.

Gross value at end Transactions during reponing period

(including trust assets) reponing period of reponing period

(2) (I) (2) (I) (2) (3)

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

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell. mm/dd/yy Code2 Code I buyer/seller

(A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private

transaction)

17. OPPENHEIMBER CAPITAL None Sold 07/20/10 J APPRECIATION FUND A - MUTUAL

FUND

18. CVX COMMON STOCK-IRA B Dividend J T Sold 11/24/IO K D

(part)

19. HPQ COMMON STOCK-IRA A Dividend J T Sold 11/24/IO J B

(part)

20. XOM COMMON STOCK-IRA A Dividend J T Sold 11/24/IO K c (part)

21. FUL T COMMON STOCK-IRA A Dividend Sold 11/24/10 J

22. GE COMMON STOCK-IRA A Dividend J T

23. HON COMMON STOCK-IRA A Dividend J T Sold 11/24/IO J A

(part)

24. KMB COMMON STOCK-IRA A Dividend J T Sold 11/24/IO J A

(part)

25. BANCO SANTANDER CENT HISPANO A Dividend Sold 11/24/I 0 J CDR - IRA

26. MRK COMMON STOCK-IRA A Dividend J T

27. MMM COMMON STOCK-IRA A Dividend J T Sold 11/24/10 J A

(part)

28. PEP COMMON STOCK-IRA A Dividend J T Sold 11/24/10 J B

(part)

29. PFE COMMON STOCK-IRA A Dividend J T

30. UNION BANCORP INC - IRA None J T

31. NATIONWIDE MUTUAL FUND CLASS A Dividend J T A

32. UNION BANK & TRUST CO.-SAVINGS A Interest Redeemed 07/20/10 J

I . Income Gain Codes: A =S 1,000 or less B =Sl.001 -$2,500 C =S2,501 - S5,000 D=S5.00l -Sl5,000 E =SI 5.001 -$50.000

(See Columns BI and ().1) F =$50.001 -S I 00.000 G =SI00.001 -$1.000.000 HI =Sl,000,001 -S5,000.000 H2 =More than $5.000.000

2. Value Codes J =$15.000 or l"'s K =S 15.00 I - $50,000 L =$50.00 I -SI 00.000 M =SI 00.00 I - S250.000

(Sec Columns Cl and DJ) N =S250.001 -$500.000 0 =$500.001 -Sl,000.000 Pl =S 1.000,001 -$5,000,000 P2 =$5,000,001 -$25,000.000

PJ =$25.000.001 -$50.000.000 P4 =More than S50.000.000

3. Value Method Codes Q =Appraisal R =Cost (Real Estalc Only) S =A s mcnl T =Cash Market

(Sec Column C ) U =Book Value V =01hcr W =Estimated

!

'

(2)

(J-P)

(4) (5)

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 7of16 JONES 111, JOHN E. 05/09/2011

VII. INVESTMENTS and TRUSTS -income, .. arue, transactions onc1udes ttwse of spouse and dependent ctrudren; see PP· 1-1-60 offiting instructions.)


A. 13. c. D.

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

(including trust assets) reponing period ofreponing period

(I) (2) (I) (1) (2) (3) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 : Code I buyer/sellerCode 1

(A-H) or int.) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

33.

34.

35.

36.

37.

38.

39.

40.

41.

42.

43.

44.

45.

46.

47.

48.

49.

SIRIUS SATELLITE RADIO - COMMON

STOCK

FIDELITY BLUE CHIP VALUE FUND -

MUTUALFUND-FBCVX

VANGUARD PA LONG TERM TAX EX-

MUTUAL FUND

FIDELITY REAL ESTATE INCOME

FUND - MUTUAL FUND - FRIFX

FIDELITY INVESTMENT -M/M FUND

AFLAC INC - COMMON STOCK -IRA

FNB DAILY FUND -IRA

HOME DEPOT INC -COMMON STOCK

- IRA

VERIZON-COMMON STOCK - IRA

FNB DAILY FUND -IRA

APPLE COMPUTER -COMMON STOCK

GLD - COMMON STOCK

FEDERATED TOT AL RETURN BD

MUTUAL FUND -IRA - FTRBX

VANGUARD INTERM TERM BOND

INDEX FUND - IRA -VIBSX

VANGUARD SHORT-TERM FED-ADM

#549 MUTUAL FUND - IRA VSGDX

TARGET CORP- COMMON STOCK-

IRA

WELLS FARGO & CO-COMMON

STOCK-IRA - WFC

None J T

A Dividend J T

A Dividend J T

A Dividend J T

A Dividend J T

A Dividend J T Sold

(part)

A Dividend Redeemed

A Dividend J T

A Dividend J T Sold

(part)

A Dividend K T

None J T

None J T Sold

(part)

c Dividend K T Sold

(part)

c Dividend Sold

B Dividend Sold

A Dividend J T

A Dividend J T

11/24/10 J A

08/12/10 J

11/24/10 J B

01/27/10 J D

11/29/10 K B

11/29/10 L D

11/29/10 L c

I. Income Gain Codes: A =S 1,000 or less B =S 1.00 I -$2,500 C =$2,50 I -S5,000 D=S5.00t -Sl5.000 E =$ t 5.00 t -$50.000

(SceCoturnns Bl and ().11 F=$50.001 -SI00.000 G =SI00.001 -Sl.000.000 HI =Sl.000.001 -$5.000.000 H2 =More than $5.000.000

2. Value (odes J =S15.000orlcss K =$15,001 -$50.000 L =$50.001-SIOO.OOO M =SI00.001 -$250.000

(See Columns Cl and DJ) N =$250.001 -$500,000 0 =$500.00 I - S 1.000.000 PI =S 1.000.00 I -$5.000.000 P2 =$5.000.001 -525.000.000

PJ =$25.000.001 -$50.000.000 P4 =More than SS0.000.000

J. \'a Jue Method CodC'S Q =Appraisal R =Cost (Real Estate Only) S=As s:,mcnt T=Cash Market

(Sec Column C:!) U =Book Value V =Other W =E:,tim:i1cd

D.

(I) (2) (5)


05/09/2011JO!'liES 111, JOHN E. Page 8of16

VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those ofspouu and dependent c/rildren; SU pp. 34-60 of filing instructions.) -


A. B. c.



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

Place "(X)" after each asset

exempt from prior disclosure

Amount Code 1

(A-H)

Type (e.g.•

div., rent

or int.)

Value

Code 2

(J-P)

Value

Method

Code 3

(Q-W)

Type (e.g.,

buy, sell,

redemption)

Date

mm/dd'yy

Value

Code 2

(J-P)

Gain

Code 1

(A-H)

Identity of

buyer/seller

(if private

transaction)

50. RR DONNELLEY & SONS CO -

COMMON STOCK -IRA A Dividend Sold 11/24/10 J

51. UNITED PARCEL SERVICE CL B- A Dividend J T COMMON STOCK - IRA

52. APPLIED MATERIALS -COMMON A Dividend J T Sold I 1/24/10 J STOCK-IRA (part)

53. INTEL CORP -COMMON STOCK -IRA A Dividend J T Sold 11/24/10 J A

(part)

54. MICROSOFT CORP -COMMON STOCK A Dividend J T Sold I 1/24/IO J -IRA (part)

55. SELECT SECTOR SPDR TR UTILITIES - A Dividend Sold I I/24/IO K COMMON STOCK -IRA

56. SELECT SECTOR SPDR TR MATERIALS A Dividend Sold I 1/24/IO K A - COMMON STOCK -IRA

57. DODGE & COX STOCK FUND - B Dividend L T Sold I I/29/IO K MUTUAL FUND -IRA (part)

58. FIDELITY FUND (FFIDX) - MUTUAL A Dividend J T FUND

59. MEREDITH CORP -IRA A Dividend Sold I I/24/IO J

60. CITIGROUP -IRA None J T

61. FEDERATED STRATEGIC VALUE A Dividend K T FUND #662 -IRA

62. OAKMARK INT'L #109-IRA A Dividend J T

63. HARBOR INT'L FUND #I I - IRA A Dividend K T Buy I 1/26/IO K (add'I)

64. HARBOR INT'L FUND #11-IRA A Dividend K T Sold 08/12/10 J (part)

65. BAIDU COM INC SPON ADR None Sold 04/16/10 J c

66. LIBERTY GLOBAL INC None J T

I. Income Gain Codes: A =$1,000 or less B =Sl.001 -$2,500 C =$2,501 -S5,000 D=S5.001-Sl 5.000 E =S15,00I -$50,000

(See Columns BI and ) F =$50,001 -SI00,000 G =SI00,001 -Sl .000.000 HI =Sl .000.00 l -S5.0UO.OOO H2 =More than SS.000.000

2. Value Codes J =S 15,000 or less K =S 15,00 I - $50.000 L =SS0.001 -SI00.000 M =S100.001 -s2;0.ooo

(Sec Columns CI and 03) N =$250.001 -SS00.000 0 =SS00,00 I -S 1.000.000 Pl =Sl.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 =A:, s mcnt T =(' a:,h Marl ct

(Sec Column C2) U =Book Value V =Othor \\' =E:,timatcd

· ·"'.;:JJ:iii i

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT 05/09/2011JONES 111, JOHN E. Page 9of16

v II. I NV ES TM EN TS and TR us TS - inrome, l'alue, transactions (Includes I/rose of spouse and dependent children; SU pp. 34-60 of filing instructions.)


A. 13. c. D.



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

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell. mm/dd/yy Code 2 Code I buyer/seller

(A-H) or int.) (J-P) Code 3 redemption) (J.P) (A-H) (if private

(Q-W) transaction)

67. S&P MID CAP 400-MDY A Dividend J T

68. ORRSTOWN FINANCIAL SERVICES A Dividend J T

69. SUSQUEHANNA BANK A Dividend J T

70. AMERICAN CENTURY MID CAP A Dividend J T

VALUE -ACMVX

71. BRIDGEWA Y LARGE CAP GROWTH A Dividend J T

72. FIDELITY BALANCED FBALX A Dividend J T

73. VANGUARD US VALUE VUVLX A Dividend J T

74. FEDERATED STRATEGIC VALUE #662 A Dividend Sold 08/12/10 J A

-IRA-SVAIX

75. WALT DISNEY CO A Dividend J T

76. PHOENIX CONTRACTING None J w BUSINESS

77. FED ERA TED INTERCONTINENTAL A Dividend Sold 08/12/10 J

FUND-IRA

78. NXG COMMON STOCK None Sold 10/04/10 J A

79. NG COMMON STOCK None Sold l l/01/10 J c

80. POT COMMON STOCK A Dividend Sold 03/08/10 J A

81. AGCO COMMON STOCK None Sold 02/17/10 J A

82. IP! COMMON STOCK None J T Sold 03/08/10 J A

(part)

83. GDXJ COMMON STOCK None Sold 01/26/10 J A

I. Income Gain Codes: A =S 1.000 or less B =S 1.00 I -$2,500 C =S2,50 I -S5.000 D=S5.00l -Sl5,000 E =SI 5.00 I - $50.000

(Sec Columns BI and ) F =S50.001 - SI00.000 G =SI00.001 -Sl.000.000 HI =$1.000.001 -S5.000.000 H2 =More than $5.000.000

2. Value Codes J =SI 5.000 or le" K =SI 5.00 I -$50.000 L =$50.001 - SI00.000 M =SJ00.001 - S250.000

(Sec Columns Cl and DJ) N =S250.00I - SS00.000 0 =Sl00.00 I - S 1.000.000 r1 =Sl.000.001 -SS.000.000 P2 =$5.000.001 - S2l.000.000

PJ =S25.000.00I -SS0.000.000 N =More 1han $50.000.000

J. Value Method Codes Q =Appraisal R =Co::-1 (Real E:-tntc On\ ) S =A::. s::.mcnl T =Cash Market

(Sec Column C2) U =!look Value V ::0Q1hcr W =btimatcd

D.


Page 10of16

Name of Person Reporting

JONES III, JOHN E.

Date of Report

05/09/2011

VI I. INV ES TM EN TS and TRUSTS - incom•, •·atue, transactions (Includes those of spouse and dependent children: se• PP· 34·6o of filing instructions.)


A. 13. c.



(I) (2) (I) (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 I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller

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

(Q-W) transaction)

84. MFN COMMON STOCK None J T Sold 03/02/10 J A

(pan)

85. CCJ COMMON STOCK A Dividend Sold I1/29/10 J A

86. CCJ COMMON STOCK A Dividend Sold I1/29/10 J A

87. CAMECO CORP A Dividend Buy 08/26/10 J

88. CAMECO CORP A Dividend Sold I1/29/10 J A

89. DIAMOND OFFSHORE DRILLING A Dividend Buy 09/27/10 J

90. DIAMOND OFFSHORE DRILLING A Dividend Sold I1/30/10 J

91. MARKET VECTORS ETF TR GOLD None Buy 02/26/10 J

92. MARKET VECTORS ETF TR GOLD None Sold 07/21/10 J A

93. MICROSOFT None Buy 08/24/10 J

94. MICROSOFT None Sold 09109110 J

95. MITSUBISHI UJF FINANCIAL A Dividend Buy 03/02/10 J

96. MITSUBISHI UJF FINANCIAL A Dividend Sold 04/28/10 J

97. MOSAIC COMPANY A Dividend Buy 01/27/10 J

98. MOSAIC COMPANY A Dividend Sold 03/08/10 J A

99. POTASH ONE INC None Buy 08/23/10 J

100. POTASH ONE INC None Sold I1/22/10 J A

I. Income Gain Codes: A =$1.000 or lc;s B=S 1.00 I -$2,500 C=$2,50 I -$5,000 D=S5,00l -Sl5.000 E=S 15.00 I -S50.000

(See Columns Ill and [).I) F =S50.001 -SI00.000 G =SI00.001 -Sl.000.000 HI =S 1.000.00 I - $5.000.000 H2 =More than $5,000.000

2. Value Codes J =SI .000 or kss K =$15.001 - $50.000 L=$50.001 -SI00.000 M =SI00,001 -$250.000

(Sec Columns Cl and DJ) N =$250.001 - 5500.000 0 =$500.001 -51,000.000 Pl =Sl.000.001 -$5,000.000 P2 =$5.000.001 -$25.000,000

P3 =$25.000.IKll - 550.000.000 P4 =More than $50.000.000

3. Value Method Codes Q =Aprra1"'I R =Cost (Real Estate Only) S=Asscssmcnt T =Cash Market

(Sec Column C) U =Boo!.. \'i.1lUc V =c.Othcr W :::oEstim;llcd

(I) (4)

Page l l of 16


05/09/2011JONES Ill, JOHN E.

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


A. 8. c. D.


(including trust assets) reporting petiod ofreporting period

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

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyet/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

IOI. POTASH CORP OF SASKATCHOWAN A Dividend Buy 07/08/10 J

102. POTASH CORP OF SASKATCHOWAN A Dividend Sold 08/17/10 J B

I 03. WEYERHAEUSER CO None Buy 11/01/10 J

104. WEYERHAEUSER CO None Sold 11/29/10 J

105. SUNCOR ENERGY A Dividend J T Buy 01127/10 J

106. CHESAPEAKE ENERGY CORP None J T Buy 12/03/10 J

I07. ALLI ED NEV ADA GOLD CORP None J T Buy 01/27/10 J

108. EXETER RESOURCE CORP None J T Buy 10/07/10 J

109. FRONTEER GOLD INC None J T Buy 01/27/10 J

110. INTERNATIONAL TOWER HILL MINES None J T Buy 10/18/10 J

111. SPROTT PHYSICAL GOLD TR UNITS None J T Buy 11/22/I 0 J

112. YAMANA GOLD INC A Dividend J T Buy 11/08/10 J

113. NATIONAL FINANCIAL SERVICES- A Dividend J T Buy 01/04/10 J MM

114. CHANGYOU COM LTD- CYOU None J T Buy 01/06/10 J

115. GENERAL MOTORS CO - GM None J T Buy 11/24/10 J

116. FIDELITY CONTRA FUND- FCNTX A Dividend J T Buy 04/26/10 J

117. HEARTLAND VALUE PLUS- HRVIX A Dividend J T Buy 04/16/10 J

I. Income Gain Co des: A =Sl,000 or less B =S 1,00 I -S2,500 C =S2,501 -S5.000 D =S5,00I -S 15,000 E =SI 5,00 I -S50.000 ·

!See Columns at and D-1) F =$50.001 -SI00.000 G =SI00.001 -Sl.000.000 · HI =Sl .000.001 -$5.000.000 H2 =More than $5,000.000

2. \':liuc ("oJcs J =Sl5,000orlcss K =$15,001 -$50.000 L =$50.001 -SI00.000 M =S I00,00 I -$250.000

(Sec Columns Cl and DJ) N =$250.001 -$500.000 O =SS00.001 -Sl.000.000 rI =S 1.000.00 I -$5,000.000 P2 =$5,000,00 I -S25,000.000

PJ =$25,000.001 -$50,000.000 r4 =More than $50.000,000

3. Value Method Codos 0 =Appraisal R =Cost (Real Estate Only) S o::A scssmcnl T =Ca h Market

!Sec Column C2) U =Oook Value V =Other \V =-bt1matcd

(I)


Page 12of16 05/09/2011JONES III, JOHN E.

VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children: see PP· J4-6o of filing instructions.>


A. u. c. D.



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

Place "(X)" afler each asset Amount Type (e.g., Value Value Type(e.g., Date Value Gain Identity of Code I Code I buyer/sellerexempt from prior disclosure div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2


(Q-W) transaction)

118. TCW EMERGING MARKETS INCOME - A Dividend J T Buy 02/01/10 J TG!NX

119. FEDERATED ARMS FUND· FEUGX• A Dividend K T Buy I Jt26/IO K IRA

120. FEDERATED INST HIGH YIELD BD - A Dividend J T Buy 11/26/10 J FIHBX -IRA

12). VANGUARD SHORT-TERM BOND A Dividend K T Buy 11/26/10 K INDEX - VBSSX -IRA

122. VANGUARD INTER-TERM INV GRADE A Dividend K T Buy 11/26/10 K -VFIDX -IRA

123. VANGUARD SHORT-TERM !NV A Dividend L T Buy I 1/26/10 L GRADE -VFSUX -IRA

124. BARON SMALL CAP FUND - BSF!X - None J T Buy 11/26/10 J IRA

125. COHEN & STEERS REALTY SHARES- A Dividend J T Buy I 1/26/10 J CSRSX -IRA

126. FEDERATED INTERCONTINENTAL FD A Dividend K T Buy 11/26/10 K -ICF!X-IRA

127. GOLDMAN SACHS MIC VALUE INST - A Dividend K T Buy 11/26/10 K GSMCX-IRA

128. PERKINS SMALL CAP VALUE -JSCOX A Dividend J T Buy 11/26/10 J -IRA

129. PIMCO COMMODITY TOTAL RETURN A Dividend J T Buy 11/26/10 J -PCR!X -IRA

130. T ROWE PRICE MID CAP GWTH - A Dividend K T Buy 11/26/10 K RPMGX -IRA

13). T ROWE PRICE EMERGING MKT ST - A Dividend K T Buy 11/26/10 K PRMSX - IRA

132. AT&T INC - T - IRA A Dividend J T Buy 11/24/10 J

133. ANALOG DEVICES - ADI - IRA A Dividend J T Buy 11/24/10 J

134. AUTOMATIC DATA PROCESSING - A Dividend J T Buy 11/24/10 J ADP -IRA

I. Income Gain Codes: A =SJ,000 or Jess B =SJ,001 -$2,500 C =$2,501 - SS,000 D =$5,001 -SI 5,000 E =$15,001 -$50.000

(See Columns BI and D-1) F =$50.001 -SJ00.000 G =SJ00.001 -Sl,000.000 HI =SJ,000,001 -$5,000.000 H2 =More than $5,000,000

2. Value C\xks J =SI 5.000 or Jess K =$15.001 -S50,000 L =$50,00 I -SI 00.000 M =SJ00,001 -$250.000

(Sec Columns CJ and 03) N =$250.001 -$500.000 0 =$500,00 I -SI ,000.000 Pl =S 1.000.001 -$5,000,000 P2 =$5,000.001 -$25.000.000

P3 =$25.000.UOJ -$50.000.000 N =More than $50,000,000

3. Value Method Codes Q =Arprai"'I R =Co t (Real Estate Only) S =Asscs mcnt T =Cash Market

(Sec Column C2) U =Boo Value V =Other W =E timatC'd


Page 13of16 05/09/2011JONES Ill, JOHN E.

VII. INVESTMENTS and TRUSTS income, •·arue, transactions rrndudes those of spouse and dependent children; see PP· 14.60 of Ji line instructions.) -


A. B. c. D.


(including trust assets) reporting period of reporting period

(I) (2) (I) (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 I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller


(Q-W) transaccion)

135. INTERNATIONAL BUSINESS MCHS - A Dividend J T Buy 11/24/10 J IBM-IRA

136. PAYCHEX INC- PAYX- IRA A Dividend J T Buy 11/24/10 J

137. QUALCOMM INC -QCOM -IRA A Dividend J T Buy 11/24/10 J

138. VISA INC -V -IRA A Dividend J T Buy 11/24/10 J

139. GENUINE PARTS CO-GPC- IRA A Dividend J T Buy 11/24/10 J

140. MCDONALDS CORP - MCD - IRA A Dividend J T Buy 11/24/10 J

141. HJ HEINZ CO - HNZ -IRA A Dividend J T Buy 11/24/10 J

142. PROCTER & GAMBLE CO-PG-IRA A Dividend J T Buy 11/24/10 J

143. WALMART STORES INC- WMT-IRA A Dividend J T Buy 11/24/10 J

144. CHESAPEAKE ENERGY CORP -CHK - A Dividend J T Buy 11/24/10 J IRA

145. CONOCO PHILLIPS -COP-IRA A Dividend J T Buy 11/24/10 J

146. OCCIDENTAL PETROLEUM -OXY - A Dividend J T Buy 11/24/10 J IRA

147. TIDEWATER INC-TOW -IRA A Dividend J T Buy 11/24/10 J

148. CHUBB CORP - CB -IRA A Dividend J T Buy 11/24/10 J

149. FEDERATED INVS INC PA CLB- Fil - A Dividend J T Buy 11/24/10 J IRA

150. NYSE EURONEXT -NYX - IRA A Dividend J T Buy 11/24/10 J

151. ABBOTT LABS - ABT -IRA A Dividend J T Buy 11/24/10 J

I. Income Gain Codes: A =$1,000 or less B =$1,001 -S2.500 C =S2.50I -$5,000 D =$5.001 -$15.000 E =S 15.00 I - S50.000

(See Columns BI and D-1) F =S50.00I -SI00,000 G =SI00.001 -Sl.000.000 HI =S 1.000.001 -$5.000.000 H2 =More than $5.000.000

2. \':iluc Codes J =$15.000 or lcss K =Sl5.00 I -$50.000 L =$50,00 I -St 00.000 M =$100,00t - $250.000

(Sec Columns Cl and DJ) N =$250.001 -$500,000 o =$500,001 -Sl.000.000 Pl =Sl.000.001 -$5.000,000 P2 =$5.000.001 -$25.000.000

Pl =$25.000.001 • $50.000,000 N =More than $50.000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S ""Assessment T =Ca sh Marl.ct

(Sec Column C2) V =Book Value V =Other W ==E timatcd


05/0912011JONES Ill, JOHN E. Page 14ofl6

VII. INVESTMENTS and TRUSTS - income, •·atue, transactions onc1ut1es those of spouse anu uependent children; see PP· J-1-60 of filing instructions.)


A. 8. c. D.

Desc ription of Assets Income during Gross value at end Transactions during reponing period


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

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

exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

152. BRISTOL MYERS SQUIBB - BMY - IRA A Dividend J T Buy 11/24/10 J

153. JOHNSON AND JOHNSON - JNJ - IRA A Dividend J T Buy 11/24/10 J

1S4. ELI LILLY &CO- LLY - IRA A Dividend J T Buy 11/24110 J

ISS. EMERSON ELECTRIC - EMR - IRA A Dividend J T Buy 11/24/10 J

IS6. NORFOLK SOUTHERN CO- NSC- IRA A Dividend J T Buy 11/24/10 J

IS7. DUPONT El DE NEMOURS - DD - IRA A Dividend J T Buy 11/24/10 J

IS8. FREEPORT - MCMORAN - FCX- IRA A Dividend J T Buy 11/24/10 J

IS9. PPG INDUSTRIES INC- PPG - IRA A Dividend J T Buy 11/24/10 J

160. WINDSTREAM CORP - WIN - IRA A Dividend J T Buy 11/24/10 J

161. DOMINION RES INC VA- D- IRA A Dividend J T Buy 11/24/10 J

162. EXELON CORP- EXC- IRA A Dividend J T Buy 11/24/10 J

163. SOUTHERN CO- SO - IRA A Dividend J T Buy 11/24/10 J

164. ROYAL DUTCH SHELL - RDS- IRA A Dividend J T Buy 11/24/10 J

16S. ACCENTURE PLC IRELAND - ACN - A Dividend J T Buy 11/24/10 J IRA

I. Income Gain Codes: A =S1,000 or less B =SI.DOI -S2,500 C =S2,50 I -$5,000 D=$5.001-$15.000 E = SI 5.001 -$50,000

(See Columns BI and [).l) F =S50.001-SIOO.OOO G = S I 00.001 -Sl.000.000 HI =S l .000.001 • $5.000.000 H2 =More than $5,000.000

2. Value Codes J =S 15,000 or less K = $15.00 1 -$50,000 L =$50.001 -$100.000 M =S 100.001 -$250.000

(See Columns Cl and DJ) N =$250,001 • $500.000 0 =S500.00 I -$1,000.000 P 1 =$1.000.001 -$5.000.000 P2 =$5.000.001 -$25.000.000

PJ =$25,000.001 -$50.000.000 P4 =More than $50,000.000

J. Value Method Codes Q =ApprJisal R =Co>t (Real Est>1c Only) S =A ::.cs mcnt T =Ca:-h M;irkcl

(Sec Column C2) U =Book Value V =Other W =bt1matcd

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 15of16 JONES 111, JOHN E. 05/09/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartofreport.)


Page 16of16

Name of Person Reporting Date of Report

JONES III, JOHN E. 05/09/2011

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 nithheld 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 nith the provisions of S U.S.C. app. §SOI et. seq., S U.S.C. § 7353, and Judicial Conference regulations.

Signature: s/ JOHN E. JONES III

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL

AND CRIMINAL SANCTIONS (S U.S.C. app. § 104)

Committee on Financial Disclosure

Administrative Office of the United States Courts

Suite 2-30 I One Columbus Circle, N.E.

Washington, D.C. 20544

Documents

Jones Ill, John E.€¦ · Sa. Report Type (check appropriate type) D : Nomination, Date : D : Initial ] Annual : D : Sb. D : Amended Reon : Final : 6. Reporting Period . 01/01/2010