Maurice S Hicks Jr Financial Disclosure Report for 2010

8/3/2019 Maurice S Hicks Jr Financial Disclosure Report for 2010

1/18

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 3 101-111)

1. Person Repor ting ( las t name, f ir s t , middle init ial)Hicks , Jr. , S. Maurice

4. Tit le (Art ic le I I I judges ind ica te ac t ive o r sen io r s ta tus;magis t ra te judges indicate fu l l - or par t - l ime)

2 . Cou r t or Organ iza t ionU.S. Dist r ict Co., Western La.

5a. Repor t Type (check appropr ia t e l~e)] Nomina t ion , D a t eU.S. Di s t r ic t Judge - Act ive

7. Ch amber s or Of f ic e A ddr es sU.S. Cour th ous e300 Fan n in S t . , Sui te 5101Sh revepor t , LA 71101

[] 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 compliance,~ith applicable laws and regulations.

Reviev~ing Off icer Date

3. Date of Repor t08/16/201 I

6 . Report ing Pe riod01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followecL Complete all parts,checking the NON E box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . m e p o n i n g individual only; seepp. 9-13 of f il ing instructions.)D N O N E (No reportablepositions.)

POSITION NAME OF ORGANIZATION/ENTITY1. Lectu re r Cen ten ary Co l leg e o f Lo uis ian a2. B o a r d o f D i r e c t o r s M e m b e r Chi ld ren an d Arth r i t i s , In c . (50 I (c) (3 ) o rg a n iza t io n )3.

4.5.

I I . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 of fil ing instructionx)~] N O N E (No reportable agreements.)

DATE PARTIES AND TERMS


2/18

FINANCIAL DISCLOSURE REPORTPage 2 of 18

N a m e o f P e r s o n R e p o r l in gHicks, Jr., S. Maurice

Date of Report08116/2011

I I 1 . N O N - IN V E S T M E N T I N C O M E . (Reporting individual andspouse; seepp. 17-24 of filing instructions.)A. Filers Non-Investm ent Incom e

~] N O N E (No reportable income.)on-investmentD A T E SO U R C E A N D T Y P E IN CO M E

( y ou r s , no t s pou s e s )I . 2010 C e n t e n a r y C o l l e g e o f L o u i s i a n a - T e a c h i n g $2,5002.3.4.

B . S p o u s e s N o n - I n v e st m e n t ! nc o m e - if you were married during any portion of the reporting year, complete this section.(Do llar amount not required except for honoraria.)

~] N O N E ( N o reportable non-investment income.)D A T E SO U R C E A N D T Y P E

I . 2010 Parag leg a l s e rvic es - s e l f -emp lo yed2.3.4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, en te r ta inmenL(Includes those to spouse and dependent children; see pp. 25-2 7 of filing instructions.)

N O N E ( N o reportable reimbursements.)SOURCE D A T E ~ S LOCATION

I.2.

3.4.5.

PURPOSE ITEMS PAID OR PROV1DED


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N a m e o f P e r s o n R e p o r t i n gHicks, Jr., S. Maurice

D a t e o f R e p o r t08/16/2011

V . G [ F T S . (Includes those to spouse and dependent children; see pp. 28-3 1 of filing instructions-)N O N E ( N o reportable g~s.)

SOURCE DESCRIPTIONI.

2.

3.

4.5.

VALUE

V I . L I A B I L I T I E S . a . c lu d e s t h o s e o y s p o u s e o.d dependent children; see pp. 32-33 of f i l ing instructions.)D (No reportable liabilities.)O N E

2.

3.

4.5.

CREDITORCitimortgage

D E S C R I P T I O NM or t gage - R en t a l P r ope r t y #1 , R u s t on , LA

VALUECODEL


4/18


N a m e o f P e rs o n R e p o r t i n gHicks, Jr., S. M a u r i c e

D a t e o f R e p o r t08/I 6/701 I

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, transa ct ions ( Includes those of spouse and dependent chi ldren; see pp. 34-60 of fi l ing 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 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

(1) (2)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 . ,e x e m p t f r o m p r io r d i s c lo s u r e Code I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a lu e a t e n do f r e p o r t i n g p e r i o d0) (2)V alue V alueC o d e 2 M e t h o d

(J-P) C o d e 3( Q - W )

(1 )Type (e.g. ,

buy, se l l ,redempt ion)

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

(2) (3)Dat e V a l u e Gai nm m / d d / y y C o d e 2 C o d e I

( J- P ) (A - H )

( 5 )I d e n t i ty o fbuyer/seller

( i f p r i v a t et r a n s a c t i o n )

I. Capi t a l One Bank Account s2. Sta te Farm Li fe In suran c e Co . Ac c o un t

InterestN o n e

M

JTT

3. N or th w es t e rn M utua l L ife I ns u rance Co. N o n eA c c o u n t4. Timb er Lan d , Lin c o ln Par i sh , Lo uis ian a - N o n eI/I /96, $30,000

5. Lef t i n t en t iona l ly b l ank N o n e6. Renta l P rop e r ty # 1, Rus ton , LA - 07 /03/01, A R e n t$75,4277. Lef t i n t en t iona l ly b l ank N o n e8. Lef t i n t en t iona l ly b l ank N o n e9. I R A # I M o r g a n K e e g a n ( p r e v C a p i t al O n e ) A InterestMone y Fund

1 0 . Lef t i n t en t iona l ly b l ank N o n eI I . V A C F e d e r a l C r e d i t U n i o n A Divid en d

JK

L

K

TR

R

T1 2 . Barksd a le Fed era l Cred i t Un io n A Interest K T1 3 . Red River Syn d ic a te LP1 4 . Lef t i n t en t iona l ly b l ank1 5 . J a n n e y , M o n t g o m e r y S c o t t B r o k e r a g eAccount - Cas h1 6 . Lef t I n t en t iona l ly b l ank1 7 . Lef t i n t en t iona l ly b l ank

A Int . /Div.N o n eN o n e

N o n eN o n e

K U

T

I . Inc ome G ain C odes : A =$1,000 or less B = $1,001 - $2,500 C = $2,501 - $5 ,0~ 0 D =$5,0~1 - $15,000( S e e C o l u m n s B I a n d I M ) F =$50,001 - $100,000 G =$100,001 - $1,000,000 HI = $1.000.001 - $ 5.000,000 H2 =More than $5.000,000

2. Value Codes J -$15,000 or less K = $15,0~ I - $50,0~O L = $ 5 0 . 0 ~ I - $ I 0 ~ , 0 0 O M = $ I IKI,001 - $ 250,000(Se e Co lumn s CI a n d D 3) N =$250.001 - $500,000 O = $500,001 - $1,000,000 P l = $1 ,0 ~0 .0 01 - $5 ,0 00 .0 00 P 2 -$ 5, 00 0. 00 1 - $ 25 .0 00 ,0 00

P3 $25,000,001-$50.000.000 p4 -More than $50,000,0003 . V alu e Method C odes Q = A p p r a i sa l R :C os t ( R eal E s l a l e Only) S =As s es s ment T : Ca sh Ma rkc l

(Se e Co lumn C2) U =Book V alu e V = O ~h er W =E s t imated

E =$15,001- $50,0~3


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N a m e o f P e r so n R e p o r t i n gHicks, Jr . , S . Maurice

D a l e o f R e p o r t0 8 / 1 6 / 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 - incom e, value, tran sact ions (Includes those of spouse and depen den t children ; see pp. 34-60 of f i l ing instruct ion s.)N O N E ( N o 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( 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

(1 ) (2 )Place "(X)" af ter each as s e t A m o u n t Type (e.g.,

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

Gro s s va l u e a t e ndo f r e p o r t i n g p e r i o d( i ) ( 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 )

T y p e ( e . g . ,b u y , 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 l i n g p e r i o d

(2) (3) (4)D a t e V a l u e G a i n

m n d d d / y y Code2 C o d e IO - P ) (A-~)

(5 )Idemity of

buy 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 8 . Left intentionally blank None19. IRA #1 XTO Ener gy A Dividend S o l d 06/29/10 J A

20 . Left intentionally blank None21 . Left intentionally b lank None22 . Left intentionally blank None

23 . Left intentionally blank None24 . IRA #1 Entrada Netw orks None T25 . IRA#1 Globalnet None T26 . Left intentionally b lank None27 . Left intentionally blank None28 . Left intentionally b lank None29 . Left intentionally blank None30 . Left intentionall b lank None31 . Left intentionally blank None32 . Left intentionally b lank None

33 . Giant Studios None T34 . IRA #2 Morgan Keegan (prev Cap ital One) AMoney Fund I n t e r e s t T

I . Inc ome G ain C odes : A =$1,000 or less B = $1,001 - $2,500 C = S2,501 - $5,000 D =$ 5.001 - $15,000( See C olu mns BI and D4) F =$50,0(11 - $100,000 G =$100,001 - $1,000,0~0 H I = $ 1. 00 0, 00 1 - $ 5 .0 00 .0 00 H 2 - M or e t ha n $ 5 ,0 00 ,0 00

2 . V alu e C odes J =$15,000 or less K $15,001 - $50,000 L =$50,001 - $100.0~0 M = $100.001 - $250,000(Se e Co lumn s CI a n d D 3) N = $250.001 - $500,000 O = $500,091 - $1,000.000 P| =$l.000,O01 - $ 5.000.000 P2 =$5,000,001 - $25.000,000

P3 = $25.000.001 - $50.000.000 P4 =Mo re than $50.000.0003 , V alu e Method C odes Q = A p p r a i sa l R =C osl (R ea l E sta te O nly) S = Assessm en t T : Ca sh Ma rke t

( S~ e C olu mn C 2 ) U =Book V alu e V - O t h e r W =E s t imated

E =$15,001 - $50.000


6/18


N a m e o f P e r s o n R e p o r t in gHicks, Jr. , S. Ma urice

D a t e o f R e p o r t08/16/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i.co~.e, ,nine , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)D NONE (No repo rtable income, assets, or transa ctions.)A. B. C.

Description of A ssets In com e durin g Gross value a t end( including t rus t asse ts ) reporting period of reporting period

(i) (2) O) (2)P lace "IX )" after each asset A m ount Type (e.g. , V alue V a lueexempt f rom pr ior d isclosure Code I div. , rent, Code 2 Method(A-H) o r i n t . ) (J-P) Code 3

35 . Left intentionally blank None36 . Left intentionally b lank None

37 . Left intentionally b lank None

38 . Left intentionally b lank None

39 . Left intentionally blank None40 . Left intentionally blank None41 . Left intentionally b lank None42 . Left intentionally blank None43 . Left intentionally b lank None44 . Left intentionally blank None45 . Left intentionally blank None46 . Left intentionally b lank None47 . Left intentionally b lank None48 . Left intentionally blank None49 . Left intentionally blank None

50 . Left intentionally blank None


(1 ) (2) (3)Typ~ (e.g. , D a ~ e V a l u e

buy, se l l , m m / d d / y y Code 2redem p tio n) (J-P )

( 4 ) ( 5 )G a i n I d e n t i t y o f

C o d e 1 buyer/seller(A-H) (if private

transaction)

51 . Left intentionally blank N o n e

I . Inc ome G ain C odes : A =51,000 or less B = $1.001 - $2,500 C = 52,501 - $5 ,000 D =$5,001 - $15,000( See Colunms B I a nd D4 ) F = $ 50,001 - S 100,000 G = $ 100.001 - $ 1,000,000 H I = $ 1.000,CO I - $ 5.000,000 H 2 = M ore tha n $5.00~,000

2 . V alu e C odes J =$15,0~0 or less K = $15,001 - $50.000 L =$50.001 - $ 100,000 M $ 100.001 - $250,000(See C olu mns C I and D3 ) N = $250.0OI - $500.000 O $500.001 - $1,000.000 PI =$| .00O,00l - $5,000,000 P2 =$5.0~0,0OI - $25,000.O00

P3 =$25,0OO.0OI - $50.0~O.000 P4 =Mo re than $50,000.0003 . V alu e Method C odes Q = A p p r a i sa l R Cost (Real Estate Only) S =As s es s ment T= C a s h M a r k e tISce Column C2} U =Book V alu e V = O l h e r W =E s l imated

E =$15,0OI - $50,000


7/18

FINANCIAL DISCLOSURE REPORTPage 7 of 18 Ia m e o f P e r s o n R e p o r t i n gHicks, Jr. , S. Maurice Date of Report08/16/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i ncom e, va lue , t ransac t ions (Inc ludes those of spouse a nd de penden t ch i ldren ; seepp. 34-60 of f i li ng in s t ruct ions . )N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income dur ing Gross va lue a t end Transact ions du r ing repor t ing per iod

(including trust assets) reporting period of reporting period(i) (2) (t) (2) O) (2) (3)

Place "(X)" after each asset A m o u n t Type (e.g., V a l u e V a l u e Type (e.g., Dat e V a l u eexempt from prior disclosure Code I d iv ., r e n t , C o d e 2 M e t h o d buy , s e l l , m m / d d / y y C o d e 2( A - H ) or i n t . ) (J-P) C o d e 3 r e d e m ptio n ) (.I -P)( Q - W )

52 . Lef t i n t en t iona l ly b l ank N o n e53 . Lef t i n t en t iona l ly b l ank N o n e54 . Lef t in te n tio n a l ly b lan k N o n e

55 . Lef t i n t en t iona l ly b l ank N o n e56 . Lef t in te n tio n a l ly b lan k N o n e57 . Lef t i n t en t iona l ly b l ank N o n e58 . Lef t i n t en t iona l ly b l ank N o n e59 . Lef t i n t en t iona l ly b l ank N o n e60 . Lef t in te n tio n a l ly b lan k N o n e61 . Lef t i n t en t iona l ly b l ank N o n e62 . Lef t i n t en t iona l ly b l ank N o n e63 . Lef t in te n tio n a l ly b lan k N o n e64 . Lef t i n t en t iona l ly b l ank N o n e65 . Lef t i n t en t iona l ly b l ank N o n e66 . Lef t i n t en t iona l ly b l ank N o n e

67 . Lef t in te n tio n a l ly b lan k N o n e68 . Lef t in te n tio n a l ly b lan k N o n e

(4) (5 )Gain Identity of

Code I buyer/ se l le r(A-H) (if private

transaction)

I . Inc ome G ain C odes : A =$1,000 or less B = 51.001 - 52,500 C = 52,501 - $5 ,000 D =$5,0OI - 515,0~0(Se e Co lumn s BI a n d I M) F =$50.001 - $100.0~ G =$ 1 0 ~ .0 0 1 - $1 .0 ~ , 0 ~ HI = $1 , 0 ~ .0 0 1 - $5 .0 0 ~ .0 ~ H2 =Mor e than

2 . V alu e C odes J =$15.000 or less K -$15,001 - $50,0(~ L =$ 50.001 - 5100.0~3 M ~$ I 0(I.001 - $250.000I Se e Co lumn s C I a n d D 3) N = $250.0OI - 5500,000 O = $50~,001 - $1,0~)O,000 PI =$1,0~)0.091 - $5,000,00~ P2 =$5,000,0~1 - $25,000,000

P3 =$25.00~,0OI - $50.0~0.000 P4 More than $50,000,0003. Value Method Code--. Q =Appr a i s a l R =C os t ( R eal E s l a t e Only) S =As s es s ment T = Ca sh Ma rke t

( ~ c C o l u m n C 2 ) U -Bo o k Va lue V O l h c r W =E s t imaled

E =$15,1~31 - $50,0~0


8/18


N a m e o f P e r so n R e p o r t i n gHicks, Jr. , S. Ma urice

D a t e o f R e p o r t08/16/2011

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 filinginstruction~.)D NONE(N o reportable income, assets, or transactions.)A. B. C.Description of A ssets In com e durin g Gross va lue a t end

( including t rus t asse ts ) reporting period of reporting periodO) (2) (D (2)Place "(X)" after each asset Amount T y p ~ ( e . g ., Va l ue V a l u e

exempt f rom pr ior d isclosure Code I div., rent, Code 2 Method(A-H) o r i n t . ) (J-P) Code 3(Q-W)

69 . Bios an te P h a rmaceu t i ca l N o n e70 . Lef t i n t en t iona l ly b l ank N o n e

71 . Lef t i n t en t iona l ly b l ank N o n e

72 . Le ft in ten tio n a lly b lan k N o n e73 . Le ft in ten tio n a lly b lan k N o n e7 4. Lef t i n t en t iona l ly b l ank N o n e7 5. Lef t i n t en t iona l ly b l ank N o n e76 . Le ft in te n tio n a lly b lan k N o n e77 . Lef t i n t en t iona l ly b l ank N o n e7 8. Lef t i n t en t iona l ly b l ank N o n e79 . Le ft in te n tio n a lly b lan k N o n e80 . Le ft in ten tio n a lly b lan k N o n e81 . Lef t i n t en t iona l ly b l ank N o n e82 . Lef t i n t en t iona l ly b l ank N o n e83 . Lef t i n t en t iona l ly b l ank N o n e


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

J T

(I) ( 2 ) ( 3 )Type (e.g. , D a t e Va l uebuy, se l l , m m / d d / y y Code 2

redempt ion) (J-P)

(4 ) (5 )Gain Identity of


transaction)


I. In co m e Gain Co d es: A = $1,000 or less B = $1,0~1 - $2,500 C = $2,501 - $5.000 D =$5.001 - $15,000(S~:Columns BI and D.l) F =$50,0~1 - $100,000 G =$100,001 - $1,000.000 H I = $ 1, 00 0, 00 1 - $ 5 .0 ~) .0 ~ 0 H 2 = M o re Ih a n $ 5, 00 ~, 00 0

2 . V alu e C odes J =$15,000 or less K = $15.001 - $ 50.000 L = $50,001 - $ 100.000 M =$ 100,001 - $ 250.000( Sc C olu mns C I and D3 ) N =$250,001 - $500,000 O $500.001-$1,000,000 P 1 =$1,000.001 - $5,0g0,000 P2 =$5,0~1.001 - $25.000,000

P3 = $25,0~),0~1 - $50.00~.0~0 P4 =More than $50,000.0003 . V alu e Method C odes Q = A p p r a i sa l R =Co st (R ea l E sta te O nly) S = Assessm en t T =C as h Mar k et

ISc e C olu mn C 2 ) U =Book V alu e V Olher W =E s t imated

E =$15,001 - $50,000


9/18


N a m e o f P e rs o n R e p o r t i n gHicks, Jr. , S. Ma urice

D a t e o f R e p o r t08/16/201 I

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

A. B. C.Description of A ssets In co m e d uring Gross v a l u e a t e n d(including trust assets) reporting period of reporting period

O) (2) (0 (2)P l a c e " ( X ) " a f t e r e a c h a s s e t Amount Type (e.g. , V a lu e V a lu e

e x e m p t from p rio r d isc losure Code I div. , rent, Co d e 2 M ethod(A-H) o r i n t . ) (J-P) Code 3(Q-W)

86 . Left intentionally blank None87 . Left intentionally b lank None

88. Left intentionally b lank None

89. Left intentionally blank None90 . Left intentionally blank None91 . Left intentionally blank None92 . IRA #1 Dodge and Cox Intl Stock Fd A Dividend93 . Left intentionally blank None94. Left intentionally b lank None95 . Left intentionally blank None96 . Left intentionally blank None97 . Left intentionally blank None98. Left intentionally blank None99 . Left intentionally blank None100. Left intentionally blank None

101. Left intentionally blank None

J T

Transac t ions d u r i n g r e p o r t i n g p e r i o d

O) (2) (3)Typ~ (e.g. , D a t e V a lu e

buy, se l l , m m /d d/y y Co de 2redempt ion) (J-P)

(4 ) (5 )Gain I d e n t i t y o f

Code I b u y e r ! s e l l e r(A-H) (if private


102. Left in ten tiona lly b la nk None

I . Inc ome G ain C odes : A =S 1,000 or less 13 =$1.001 - $2,500 C =$2,501 - $5,000 D =S5,001 - $15,000ISec C olu mns B I and IM) F = $50,001 - $100,000 G = $100,001 - 11,000,000 HI = $1,000,001 - $5,000,000 H2 =More than $5,000,000

2 . V alu e C odes J -$15.0~ 0 o r le ss K = $15,001 - $50,0~0 L =$50,001 - $ I 0(I,000 M =$ 100,001 - $250,0~0( S~ e C olu mns C I and D3 ) N =$250.0~1 - $50~,000 O = $5 0~ .001 - $ 1,00 0.000 P I = $1 ,0 00 ,00 1 - $5 ,00 ~,0 00 P2 = $5,0(~,001 - $25.000.000

P3 = $25.C~),001 - $50.00~.0~0 P4 =More than $50,0~1,0~03 . V alu e Method C odes Q = A p p r a i sa l R = Co s t (Real Estate O n l y ) S =As s es s ment T = Ca sh Ma rke t

I Sce Co lumn C2) U =Book V alu e V = O t h e r W =E s t imated

E =$15,001 - $50,000


10/18



D a t e o f R e p o r t08/16/2011

V I I . I N V E S T M E N T S a n d T R U S T S --income, valuc, transaction$ (Includes thosc of spouse and dcpendcnt children; sce pp. 34-60 of filing instructionx.)D NONE i ncom e, asse t s , or t ran sac t ions . )N o reportableA. B. C.D e s c r i p t io 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 e n d

( in c lu d in g t r u s t a s s e t s ) r e p o r t in g p e r io d o f r e p o r t i n g p e r i o d(I) (2) (I) (2)

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 ., V a lu e V a lu ee x e m p t f r o m p r i o r d i s c l os u r e C o d e I d iv . , r e n t , C od e 2 M e t h o d( A - H ) o r i n t . ) ( J - P ) C o d e 3

( Q -W )

103. Left intentionally blank None104. Left intentionally blank None

105. Left intentional ly b l ank None106. Left intentionally blank None

107. Left intentionally blank None108. Morgan Keegan cash-T A Int./Div.1 09 . E ncana Co rp - Janne y A Dividend110. Left intentionally b lank None

I 1 I . Left intentionally b lank NoneI 1 2 . Left intentionally blank NoneI 1 3 . Cub ic Energy Inc None114. Left intentionally blank None115. Left intentional ly b l ank None116. Left intent ional ly b l ank None117. IRA #3- Terra Nitrogen Co LP A Dividend

1 1 8 . Left intentionally b lank None

J T

Transac t ions during report ing per i od

(o (2) (3)T y p e ( e . g ., D a t e V a l u eb u y , s e l l, m r n / d d / y y C o d e 2

r e d e mp t i o n ) (J-P)

Sold 11/12/10 J

Sold 11/12/10 J

Sold 03/05/10 J

G a i n I d e n t i t y o fC o d e I b u y e r / s e l l e r( A - H ) ( i f p r i v a t e


A

A

A


I. n c o m e G a i n C o d e s: A =$1,0O0 or less B =$1.001 - $2,500 C =$2.50| - $5,000 D =$5,0~1 - $15,000( S e e C o l u m n s B I and D4) F =$50.0~1 - $10O ,0O 0 G =$100,001 - $1,00O .0O O HI =$1.000,001 - $5,1X )0.090 H2 =More than $5,000.090

2. V a l u e C o d e s J =$15,000 or less K -$15,001 - $ 50,090 L -$50,001 - S 100,0130 M =$ 100,001 - $250,000( S e e C o l u n m s C I and D3) N =$250,001 - $500,00~ O =$5CO .001 - $1,000.009 PI = $1,000,001 - $5 ,000,0~0 P2 =$5.000.001 - $25,000.090

P3 =$25,000,001 - $50,000.090 P4 =More than $50,000,0003. Value Method Codes Q = A p p r a i sa l R = Co s l (Real Eslate Only) S = Ass.cssmcnt T = C a s h M a r k c t(S c Co lumn C2) U =Book V alu e V = O l h cr W =Estimated

E = $ | 5 , 0 0 1 - $50,000


11/18

FINANCIAL DISCLOSURE REPORTPage 11 of ! 8 Ia m e o f P e r s o n R e p o r l in gHicks, Jr. , S. Ma urice D a t e o f R e p o r t08/16/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - inco,,o, , ,a l . e , t ransac t ions (Inc ludes those of spouse and depen den t ch i ldren ; see pp. 34-60 of f i li ng in s t ruc t ions . )N O N E (No reportable income, assets, or transactions.)

D e s cr ip t io n o f A s s e ts In c o m e d u r in g( i n c l u d i n g t r u s t a s s e t s ) r e p i n i n g p e r i o d

(0 (2)Place "(X)" af ter each as s e t A m o u n t Type (e.g.,exempt from prior disclosure C o d e I div., r e n t ,( A - H ) o r int . )

120. Left intentionally blank1 2 1 o Left intentionally blank

122. Left intentionally blank



125. Left intentional ly b l ank

126. Left intent ional ly b l ank



129. Left intentionally blank130 . Left intent ional l b lank


132 . Left intent ional ly b l ank


134. Left intent ional ly b l ank

135 . Left intent ional ly b l ank136. Left intent ionally b l ank

NoneNone

None

None

NoneNone

None

NoneNoneNone

None

NoneNone

None

None

NoneNone

Gro s s va l u e a t e ndo f r e p o r t i n g p e r i o d0) (2)

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

Transact ions d u r i n g r e p o r t i n g p e r i o d

O) (2) (3)T y p e ( e . g ., Date Valuebuy, sell, m m / d d /y y C o d e 2

redempt ion)


Code 1 buyer/seller(A-H) (if private

transaction)

1 . Inc ome G ain C odes :( See C olu mns BI and

2.V alu e C odes( See C olu mns C I and D3 )

3.V alu e Method C odes( se e Co lumn C2)

A =$1,000 or lessF =$50,001 -J =$15,000 or lessN =$250,001 - $500,000P3 $25,000.001 - $50.000.000Q = A p p r a i sa lU =Book V alu e

B =$1 ,001 - $ 2 , 5 0 0G =$I00.001 - $1.000.000K =$15,001 - $50.000O =$500,001 - $ 1 , 0 0 ~ . 0 0 0R =C os l ( R eal E s l a lc O n l y )V :Othcr

C =$2,501 - $5,000H I = $ 1 . 0 0 0 . 0 0 1 - $ 5 .0 O O . 1 3 0 0L :$50.001 - $100.000P I -$ 1.000.001 - $5.000.000P4 -More than $50.000.000S - A~ s c s s mc ntW = Esl imated

D =$5,001 - $15,000H2 :More than $5.000,000M :$100.001 - $250.000P2 =$5,0~0,001 - $25,000,000T = C a s h M a r k et

E :$15,001 - $50,000


12/18


N a m e o f P e r s o n R e p o r t in gHicks, Jr. , S. Ma urice

D a t e o f R e p o r t08/16/201 I

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 instruction~)D NONE (N o reportable income, assets, or transactions.)A. B. C.

D e s c r i p t io 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 u e a t e n d( i n c l u d in g t ru s t a ss e t s ) re p o r t in g p e r i o d o f r e p o r t i n g p e r i o d

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

exempt from prior disclosure C o d e I d i v . , r e n t , C o d e 2 M e t h o d( A - H ) o r i n t . ) (J-P) C o d e 3( Q - W )

137. Left intentionally blank None138. Left intentionally blank None

139. Scottrade Cash Acct. A I n t e r e s t K T140. Chesapeake Energy-Janney Acct. A Dividend141. Petrohawk Energy- Janney Acct. None142. Left intentionally blank None

143. Left intentionally blank None144. Lef t intent ionally b lank None


146. Canadian Oil Sands- Scottrade A Dividend J T147. Lef t intent ionally b lank None148. Eagle Rock Energy- Scottrade A Int./Div. J T149. Encana Corp-Scottrade A Dividend J T150. Left intentionally blank None151. Left intentionally blank None



(4 ) (5 )G a i n I d e n t i t y o f

Code I buyer/seller(A-H) ( i f p r i v a t e

transaction)

(I) (2) (3)Type (e.g. , D a t e V a l u ebuy, sell, m m / d d / y y Code 2

r e d e m p t i o n ) (J-P)

Sold 09/23/10 J ASold 11/16/10 J A

Sold 03/03/10 J A( par t )


I. In co m e Gain Co d es: A = $1,000 or less B = $1.0~1 - 52,500 C = 52,501 - $5 ,000 D =$5,001 - $1( See Columns B I a nd [94 ) F = $ 50.001 - $ 100.0O~ G = $ 100.001 - $ 1.000.000 H 1 = $ 1.000.0~ 1 - $ 5.0,000 H 2 = Mo~ than $ 5

2 . V alu e C odes J -515,000 or less K = $15.001 - $50.00~ L = $50,001 - $100,0~0 M =5100,001 - $250,0~O( See C olu mns C I and D3 ) N = 5250.001 - $50~1.090 O 5500 .0~ I - 5 l ,OO~.O00 p I = $1,000,001 . 55,000.000 p2 = $5,000,001 - 525,00,000

P3 =525.000.0OI - 550,000.000 P4 -More than $50,000,0003 . V alu e Method C odes Q = A p p r a i sa l R =C os t ( R eal E s t a t e Only) S ~ As s c s s mc nt T =Cash Markct

( See C olu mn C 2 ) U B o o k V a l u c V = O the r W = E stim ated

E =$15,001 - $50,000


13/18


N a m e o f P e r s o n R e p o r l in gHicks, Jr. , S. Ma urice

D a t e o f R e p o r t08/16/2011

V I I . I N V E S T M E N T S a n d T R U S T S - inco,.e, ,,olue. 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

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

e x e m p ~ f r o m p r i o r d i s c l o s u r e 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(l) (2)

V a l u e V a l u 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 )


(2) (3) (4)Dat e V a l u e Gai n

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

(5 )I d e n t i l y o fbuy e r / s e l l e r

( i f p r i v a t et r a n s a c t i o n )

154 . Lef t in ten t io n a l ly b lan k N o n e155. IRA #2 Americ an Sup erc o n d uc to rs N o n e156 . IRA #2 Encan a A Dividend J157. IRA #2 National Fuel Ga s A Dividend158. IRA #2 Pacific Asia Petroleum None S o l d 08/10/10 J B159. IRA #2 Smartheat Inc None S o l d 04/09/10 J A

160 . IRA #2 S ter ic yc le N o n e161 . IRA #2 Tec k Co rp Ltd N o n e1 6 2 . I R A # 2 E a g l e R o c k E n e r g y P a r t n e r s A Dividend1 6 3 . IR A # 2 K i n d e r M o r g a n P a r t n e r s A Dividend1 6 4 . IR A # 1 F H L M C C M O S e r i es A Interest165 . IRA #1 GN MA C MO Se r i e s~ "~ o"~ ,% ~ A Interest1 6 6 . C e n o v u s E n e r g y - J a n n e y A Dividend167 . Lef t in ten t io n a l ly b lan k N o n e1 6 8 . G M X R e s o u r c e s- J a n n e y N o n e

1 6 9 . R i g e l P h a r m a c e u t i c a l- J a n n e y N o n e1 7 0 . B i o m a s s R e s o u r ce s - J a n n e y N o n e

JJ

J

J

TSo ld

TTTT

Sold

T

SoldT

05/I 1/10

11/12/10

A

A

11/12/10 J A

1. Incom e Gain Co des: A = $1.000 o r less B = $1.0~1 - $2.500 C = $2.501 - $5 ,000 D =$5.001 - $15.00(I{ Se e C olu mn s B I a nd D4 ) F =$ 50,001 - $ 100.000 G =$ 10 0,0 01 - $1 ,0 00,0 00 H 1 = $1,0 00 .0 01 - $ 5.0 00 ,0 00 H2 =More than $5,000,000

2. Value Codes J $15.000 or less K =$15.001 - $50.000 L =$50.001 - $100.000 M = $100.001 - $250.000{Sc c C olu mns C I and D3 ) N =$250.0~1 - $50~,000 O = $500,001 - $1.0~0,000 PI = $1,000.001 - $5,0~0,000 P2 =$5,000,001 - $25,0~0,090

P3 =$25,000.001 - $50,000.009 P4 -More than $50,000,10003 . V alu e Method C odes Q = A p p r a i sa l R =C os t {R eal E s l a t e Only) S =As s c s s menl T = Ca sh Ma rke t( .See Column C2) U : Bo o k Va lue V - O t h e r W =E s t imated

E =$15.001 - $50,1)00


14/18


N a m e o f P e r so n R e p o r l i n gHicks, Jr. , S. Ma urice

D a t e o f R e p o r t08/16/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, va lue, transact ions ( Includes those of spouse and dep endent chi ldren; seepp. 34-60 o:fi l ing instruct ions.)N O N E ( N o reportable income, assets, or transactions.)

A. 1 3 . C.D e s c rip t io n o f A s s e ts In c o m e d u rin g G r o s s v a lue a t e n d

( i n c l u d in g t r u s t a s s e t s ) r e p o r t i n g p e r io d o f r e p o r t i n g p e r i o d(1 ) (2 ) (I) (2)

Place "(X)" after each asset A m o u n t Type (e.g., V a lue V a lu eexempt from prior disclosure Code I d i v . , r e n t , C o d e 2 M e t h o d( A - H ) o r i n t . ) ( J - P ) C o d e 3

171. Ren ta l P ro p e r ty #2 , Ne w Orlean s , LA I / I /09 N o n e L R$55,00017 2 . Bre i tb urn En erg y Par tn er -Jan n ey N o n e J T1 7 3 . E a g l e R o c k E n e r g y P a r t n e r s - J a n n e y N o n e K T1 7 4 . F o r d M o t o r C o m p a n y - J an n e y17 5. Gen es i s En erg y LP- Jan n ey1 7 6 . C e n o v u s E n e r g y - S c o t t ra d e17 7 . C i t ig ro up - Sc o t t rad e17 8. Gero n Co rp - Sc o t t rad e17 9. GMX Res In c - Sc o t t rad e180 . S tec In c - Sc o t t rad e181 . 3 Par In c - Sc o t t rad e182.1 8 3 . I R A # 2 B P A m o c o184.

185. IRA #2 Jo hn so n & Jo hn so n

1 8 6 .1 8 7 . IR A # 2 C h in a N e w B o r u n C o r p

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 ) (2) (3)

T y p e ( e . g ., D a t e Valueb u y , s e l l , m m / d d / y y C od e 2

redempt ion) (J-P)

Bu y 11/16/10 JBu y 11/30/10 J

N o n e J T Bu y 11/16/10 JN o n e J T Bu y 11/16/10 J

A Divid en d S p i n o f f 01/04/10 J( f ro m l in e 149)N o n e J T Bu y 04/14/10 JN o n e J T Bu y 01/08/10 JN o n e J T Bu y 04/14/10 JN o n e J T Bu y 04/22/10 JN o n e J T Bu y : 04/22/I 0 J

Sold 08/16/10 JN o n e J T Bu y 02/26/10 J

Sold 06/09/10 JA Dividend J T Bu y 05/06 /10 J

Sold 07/20/10 JN o n e J T Bu y 10/14/10 J

( 4 ) ( 5 )Gain Identity of

Code I b uyer/se lle r(A-H) (if private

transaction)

I . Inc ome G ain C odes : A =$ 1,000 or less B = $1,001 - $ 2,500 C = $2,501 - $5 ,000 D = $5,001 - $15,000( See C olu mns B I and IM) F = $50,001 - $100.000 G = $100,001 - $1,000.000 HI = $1,000,001 - $5,000.000 H2 =More than $5.000,000

2 , V alu e C odes J -$15,000 or less K =$15,001 - $50,000 L =$50,001 - $100,000 M = $100,001 - $250,000( See C olu mns C I and D3 ) 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

P3 =$25,000.001 - $50,000.000 P4 ~More than $50,000,0003 . V alu e Method C odes Q = A p p r a i sa l R =C os t ( R eal E s t a t e On ly) S =As s es s ment T = Ca sh Ma rke t

( Sc C olu mn C 2 ) U =Book V alu e V = O t h e r W =E s l imated

E =$15,001 - $50,000


15/18



Date of Report08/16/201 I

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, transoctions (includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)D N O N E income, or transactions.)N o reportable assets,

D e s c r i p t io n o f A s s e t s Income during( i n c l u d i n g t r u s t a s s e t s ) r e p o rt i n g p er i o d o f r e p o rt i n g p er i o d

(I) (2) (I) (2) (1) (2) (3)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 . , V alue V alue T y p e ( e . g ., D a t e Valueexempt from prior disclosure Code I d i v . , r e n t , C o d e 2 M e t h o d b u y , s e l l , m m / d d / y y C o d e 2( A - H ) o r i n t . ) 0- P) C o d e 3 r e d e m p t io n ) ( J - P )

1 8 8 . I R A # 2 C r e e I n c N o n e189. I RA # 2 Denbury Res ources I nc N o n e

190. IR A #2 Den d reo n Co rp N o n e191. IRA #2 K ra f t Foods A Dividend192. IR A #2M olyCo rp In c N o n e193. I R A # 2 S h a r p s C o m p l i an c e C o r p N o n e194. I R A # 2 S o c i e d a d Q u i m i c a A D i v i d e n d195. I RA # 2 Sou th e rn Co A D i v i d e n d196. I RA # 2- Genes i s Ene rgy LP A Dividend197. IRA #2 Pe ps i co A Dividend198.

1 9 9 . I R A # 1 - G N M A S e r i e s ~ N o n e200. IR A #1-FN M A C M O S e rie s N o n e2 0 1 . I R A # 1 G N M A C M O S e r i e s N o n e2 0 2 . I R A # 1 C a n a d i a n O i l S a n d s T r u s t A Dividend

2 0 3 . I R A # 3 R e g i o n s M o n e y F u n d A Interest2 0 4 . JP M o r g a n - C a s h A c c t . N o n e

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 e p o r t i n g p e r i o d

( Q - W )

K TJ T

J TJ TK TJ TJ TJ TJ TJ T

Bu y !09/14/10 KBuy IM/06/IO JBu y 03/02/10 JBu y 04/06 /10 JBu y 09/24/10 JBu y 10/13/10 JBu y 10/13/10 JBu y 02/26 /10 JBu y 10/13/10 JBu y 02/26/I 0 JSo ld 10/13/10 JBu y 02/19/10 JBu y 02/05/I 0 JBu y !07/23/10 KBu y 12/01/10 J

J T

J T

K T

J T

J TJ T


Code I buyer/seller(A-H) (if private

transaction)

I . Inc ome G ain C odes : A =$ 1,000 or less B =$1.001 - $2,500 C = $2,501 - $5 ,000 D =$5.001 - $15,000(Se e Co lum ns B I an d D-l) F = $50,001 - $100.000 G = $100,001 - $1,000,000 HI = $1,000,001 - $5.000.000 H2 =Mooe than $5.000.000

2 . V alu e C odes J = $15,00) or less K = $15,001 - $ 50,000 L = $50,001 - $ 100,000 M = $ 100,001 - $250,000(S ee Co lum ns CI an d D3) 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

P3 =$25,000,001 - $50.000,000 P4 =More than $50,000,0003 . V alu e Method C odes Q = A p p r a i sa l R =Co st (R ea l E sla te O nly) S = Assessm en t T =C as h Mar k et

( se e Co lumn C2) U =Bc ~ k V alu e V = O ther W = E stim ated

E =$15,001 - $50.000


16/18


N a m e o f P e r s o n R e p o r t i n gHicks, Jr. , S. Ma urice

D a t e o f R e p o r t0 8 / I 6 / 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 ncom e, va lue , t ransac t ions (Inc ludes those of spouse an d depen den t ch i ldren; see pp. 34-60 of f i l i ng ins t ruc t ions .)N O N E ( N o reportable income, assets, or transactions.)

D e s c r i p t io 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 ss e ls ) r e p o r t i n g p e r io d

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

exempt from prior disclosure C o d e 1 d i v . , r e n t ,( A - H ) or i n t . )

G r o s s v a lu e a t e n do f r e p o r t i n g p e r i o d(I) (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 )

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 dO) ( 2 ) ( 3 )Type (e.g. , D a t e Va l ue

buy, sell, m rr dd d/ yy C od e 2redempt ion) ( J - P )




205. Morgan Keegan Cash~ A Int./Div. J T I

I. Inc ome G ain C odes :( S e e C o l u m n s B I a n d D 4 )

2.V alu e C odes(Se e Co lun ms CI a n d D 3)

3.V alu e Method C odes(See Column C2)

A =$1,000 or lessF =$50,0~1 - $100.(~30J =$15.000 or lessN =$250.001 - $500,000P3 =$25,000.001 - $50.000.09~Q = A p p r a i sa lU =Book V alu e

B =$1.0~1 - $2,500G =$100.001 - $1.000.000K -$15,001 - $50.000O =$500.001 - $ 1 , 0 0 ~ , 0 0 0R =C os t ( R eal E s t a t e Only)V O t he r

C =$2.501 - $5.000H I =$ I,O00.O01 - $ 5 . 0 0 0 . 0 ~L =$50.001 - $ IPI =$1.000.001 - $5.000.0~1P4 =More than $50,000.000S =As s es s mc nlW = E~l i m a t ed

D =$5,001 - $15,00H2 =More than $5.00~,009M $ 10O .0O l - $ 25 0.0~P2 =$5.090.0~1 - $25,000.000T =C as h Mar k c l

E =$15,001 - $50,000


17/18


N a m e o f P e r s o n R e p o r l in gHicks, Jr., S. M a u r i c e

D a l e o f R e p o r ~08/16/201 I

VIII. ADDITIONAL INFORM ATION OR EX PLANATIONS.166 . Cenovus Ene rgy , I nc : A s p l i t f rom Encana Corp .152 . Pac i f ic As ia Pe t ro - Sc o t t rad e : sho uld have b een rep o r ted in p r io r year as c o mp le te ly so ld an d havin g n o v a lue a t 12 /31 /2009.17 0 . Bio mass Re so urc es : Sho uld have rep o r ted a p ar t i a l s a le in 2008, there a re so m e shares s t i l l o wn ed .203. I RA # 3 Regions M oney Fund: s h ou ld h ave been repor t ed i n p r io r y ea rs .204. JP M organ Cas h Acco unt : s h ou ld h ave been repor t ed i n p r io r y ea rs .205 . M organ K eegan C as h Account : w as repo r t ed t oge th e r \ v i th li ne 108 in p r io r y ea rs . I t s h ou ld h ave be en repor t ed s ep a ra t e ly i n p r io r y ea rs .


18/18


N a m e o f P e r so n R e p o r t i n gHicks, Jr., S. Maurice

Date o f Report08/16/2011

IX. CERTIFICATION.I c e r t if 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 , if a n y ) i sa c c u r a t e , t r 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 ~ J 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 ut o r yp r o v i s i o n s p e r m i t ti n g n o n - d i s c l o s u r e .1 f u r t h e r ce r t i f y th 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 ncompl i a nce ~v i th the p rov i s ions o f 5 U. S . C. a pp . 501 e t . s e q , 5 U. S . C. 7353 , a nd J u d ic i a l Confe re nce re gu la t ions .

Signature: S/S. Maur ice Hicks, Jr.

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 UL L Y F A L SI FI E S O R F A L L S T O F I LE T H I S 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 . 1 0 4 )

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