€¦ · POSIIN ORGANIZATIONENTITY H fITRUST PARTIES AD MS -· .. . ('} ( ): . " · c, -,l C) = :0 -·-" < ( ) FINANCIAL DISCLOSURE REPORT . Report Required by the . Ethics AO

POSITION ORGANIZATION/ENTITY

•H f[l_I TRUST

PARTIES AND TERMS

-· I.. .. ('}

( ) : . "

·

c, -,l

C".') :::0 =

-·-Tri" -< ( )

Report Required by the EthicsFINANCIAL DISCLOSURE REPORT AO JO in Govemment Act of 1978 Rev. 112010 FOR CALENDAR YEAR 2009 (5 U.S.C. app. §§ 101-111)

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

MOODY, JR., JAMES S.

2. Court or Organization

U.S. DISTRICT COURT MIDDLE DISTRICT FL

3. Dato of Report

04/2912010

4. Tiiie {Article 111 judges indicate active or senior status; magistrate judges indicntc full- or part-time)

U.S. DISTRICT COURT JUDGE (ACTIVE)

5a. Report Type (check appropriate tyll")

D Nomination, Date D Initial [Z] Annual D Final

6. Reporting Period

01/01/2009 to

12/3li2009 Sb. D Amended Report

7. Chambers or Office Address

U.S. DISTRICT COURT 801 NORTH FLORJDA AVE #J3A TAMPA, FL 33602

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

Reviewing Officer___ Date

IMPORTANT NOTES: Tile i11structio11s accm11pa11yi11g this form musl be followed. Complete all parts, checki11g the NONE box for each part where yo11 /lave 110 reportable i11formation. Sign 011 lastpage.

I. POSITIONS. (Reporting individual only; se. pp. 9-JJ of filing instructivns.)

D NONE (No reportable positions.)

NAME OF

I. TRUSTEE

2. DIRECTOR UNIVERSITY OF FLORJDA LAW SCHOOL ADVISORY BOARD

t''J I"'->3.

r·...,...1 4. r . .. _,p.. & i'

r_.).

5. ....: .. .:: : ,. . ...,,., :; ·1

P. .1::_::: C' :.:: -0 r- ·1

-r·1 r::;; 0 (" ')

II. AGREEMENTS. (Reporting individual only; supp. 14-16 of filing ilvilTllctions.) rrt w

[Z] NONE (No reporlab'/e agreements.)

I.

2.

3.

SOURCE

SO{JRCE AND TYPE

SOURCE LOCATION PURPOSE

INCOME

ITEMS PAID OR PROVIDED

FINANCIAL DISCLOSURE REPORT

Page 2of46

Nome of Person Reporting


Date of R

SOURCE DESCRIPTION

DESCRIPTION

VALUE

CODE

FINANCIAL DISCLOSURE REPORT

Page 3of46

Name of Person Reporting


V, GIFTS, (lnc/11denl111se tu .-puuse and dependenHhiltlren; .

--------------;:-·-------------- -----8-_

----- --

--·-------------·---·----·------1---------- -- ----- ------··-- ·· ·-

1.

' ! [

1

113. ! -lmY&M i : i

' !

:-

I !

I i l I I

i !

! i

i

!

co--

. -(1-) -·.--m-,-- --

NONE (No reportable income, assets, or transactions.) D --·· ---w••·•-•• -----··-··--.. ·---••·•-••·--.-•••••••- •-•-•••·-·-••-••---••-•-···-··-"·•-• -•••-••"••·-·- ---·---· ---•••-••••·•-·••-•-•-·•-··-···

A. B. c. D.

Description of Assets In me during , Gross value at end 1 Transactions during rcponing period (including trust assets) reporting pcnoll : of reporting period l - (5). c11r--(2)- T __ _

Place "(X)" alter each asset 1 Amount ! Type (e.g . Value Value I Type (e.g.,

-

Date i Value '1 Gain Identity of .exempt from prior disclosure ; Code I l div.. rent, Code 2 I Method : buy, sell, , mm/ddlyy i Code 2 Code I ! buyer/seller

. (ifprivate transaction}

··· ·---- -···· - - ·-·--···---· . __________ �� 18.I

19.

20.

1 21.

22.

23.i

24.

25.

26.

! 27.

28.

29.

30.

31. I

32.

! 33.

34.

-- BB&T Corporation Buy 10/20/09 J

-- SunTrust Banks Buy 2110109 J (add'I)

Sold 8/19/09 J (part)

-- Regions Financial Buy 2/10/09 J (add'l)

-- Washington Mutual

-- Wells Fargo & Co (Y)

-- American Small Cap Wld

-- American Growth Fund

-- ST! (Sell Call Options) Sold 9/18/09 J

Closed 10/19/09 J c

Sold 111109 J

Closed 8121/09 J

Sold 6/22/09 J

Closed 8/21/09 J

Sold 6/22/09 J

Closed 8/21/09 J

Sold 4/l7/09 J

I. lncume Gnin Code!t: A ·"S 1,000 or less ll St,OOl - Sl,500 C =S2,501 -Sl,000 D=SS,001 -Sll,000 E =$15,!Xll - SS0,000 (Ser Columns BI

j _____ J ---! I i

!

(3)

- --- ·-·------1--- .--l- .

i I

I

B.

I Code I ' div rent I Code 2 i Method

------------- -·-(2)

Date or R port Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 6of46 04/29/2010MOODY, JR., JAMES S.

VII. INVESTMENTS and TRUSTS - ineume, vutue, 1runsac1ions ane1.. t1es 1110se uf•po••• und dependent children: ... PP. 1.J-60 uJJilinx ;,,_,,,uc:1i111u.J

D NONE (No reportable income, assets, or transactions.) .. ----------1---------·

lncome during D.

Transactions during reporting period

.C.A. l!i Gross value at end Description of Assets -(including trust assc:ts) ; reporting period 1 of reporting period

(4) Identity of

-··-·--Date

(!) (5)·-r(l)"/--i2i--;-cil·-·r-a)··IAmount Type (e.g., ! Yalu \ Value Valu¢ ! GainPlace "(X)" after each asset

exempt from prior disclosure Typc(e.g.,buy, sell,I' .

' mm/ddfyy : Code 2 ! Code I . buycr/scllor

transaction){ifprivatc(J-1') (A-H)redemption)! (A-H) o;·int.) (J-P) Code 3

i i · , (Q-W) ' !It · --·--·------- ____.,. _______________________ ___________.__ __ ·-'----- ·--·-·35.

j 36.

37.

38.

39.

40.

41.

42.

43.

44.

45.

46.

47. -- BAC (Sell Call Options)

48.

49 ..

50.

51.

Closed

Sold

Closed

Sold

Closed

Sold

Closed

Sold

Closed

Sold

Closed

Closed

Sold

Closed

Sole.I

Closed

Sold

5118109 J c

4/17/09 J

5/18/09 J B

3/23/09 J

4111109 J

3/23/09 J

4/17/09 J

2/26/09 J

3/23/09 J B

115109 J

1/21/09 J B

115109 J 13

9/18/09 J

10/16/09 J A

5115109 J

6/19/09 J

4/17/09 J

!

I. Ini::omc Goi11 CodCl'l: A •Sl.000 ur less B •SI ,tHJI • S2.51111 C =Sl.Slll - SS,0110 o ss,001 - sts,ooo E -=Sl5,ool. S tl,OIJO (Sec Culumm DI unJ 04) F •$50,IHJI • SI00.000 G =SllKl,001 - Sl,tNJIJ.000 HI =S 1,000.001 - ss,0110.000 H'Z -=More than SS,000,000

2. Value CuJcs J•SIS,OOOvrlcss K =S 15,INJ I • SS0,000 L =SSO,INJI - SIOll,O0,001 • 5250.IXIO (See Columns Cl an,000,000 f>2 =-SS,000,001 • S2S,1Hltl)JOO

Pl =S25,000,0IJI • SS0,000,000 P4 =More than S5o.ooo.ouo 3. Valui: Mcd1otJ Cutles Q =Apprnisnl R 111Cut1t {Real F.srote Only) S =Ao;s :.ment T ... Ca!>h Markel

(See Column Cl) U .s

:

i

___ ____________ ---------- - i __ L. -W)

--m - i--Tm· - orlcsi N •S251J.OOI • SS00.000 PJ --·s2s,ooo.0,OUI - SIUO,mlU Pl =St ,000,001 • SS.llOO.OOll P4 =-Mure than SS0,000,000 S =J\:ssessmc-nt W =Estimated

D =SS.UOI • SIS,000 E ""515,001 - .:>50.1100 H2 =More than 55,000,l)tJU M =S 100,0UI • S250.0llO r2.:ss.uoo.001. s2s.ooo.011u

T =Ca:i.h Market

--··----------0-.

1 69. I ! :

i

!

!

!--0)--(2>--r-(l-) -1-(2)·-

·--- - ---·-···--··- ----------- ---···---··-

I I

i I !

!

'

l

(Q-W)

Dole of ReportNu me ofPerson Reporting}'INANCIAL DISCLOSURE REPORT Page 8of46 04/29/2010MOODY, JR., JAMES S.

VII. INVESTMENTS and TRUSTS -income, •at11e, 1ransactians 011c1u.u.. 11io... 11fspa11se and dependent chitdren; •••PP. 34-60 u11m1111 insm1

--·---------·-:.;.-.- - c.---·--·

/

187. i / !

189.

I

I

193. '

i '

i I

!

__

--l _______ _ _ ___ L.

I I ! I

!

. i ' !

l i

!

I

Dute of H•1•ort Name of Ptrson Rt:-portingFINANCIAL DISCLOSURE REPORT Page 9of46 04/29/20 I 0MOODY, JR., JAMES S.

Vil. INVESTMENTS and TRUSTS - income, v111ue, 11ansucuons r1nc1111ies 111ose of spouse and depenuen1 children; see pp. 34..fJO uffiting 111s1ruc1i1ms.J 0 NONE (No reportable income, assets, or transactions.)

.. .. ------.. ·- ·-------- ,--·---a:---·---- o. Description of Assets ! Income during Gross value ar end Transactions during rcponing period

{including trust assets) reporting period t- of reporting period _ --- - ·-(5) _

Place "(X)'1 aft r ca.ch ass t [Amount ! Type (e.g., Value i Value Type (e.g., : Date :, Vuluc \ Gain · Identity of --('i)'T'-(2) ____ 1 (i)---:-·12)-- ---0)----·-:-12)-i(3)':·-i4>--i

.I Code I xcmpt from prlor disclosure ! div., rent. Code 2 Method buy. sell, i mm/ddiyy i Code 2 ! Code I buycr/sdlcr 1 (A-H) j or int.) (J-P) , Code 3 redemption) : i (J-P) : (A-H) (if private , transaction)

-·-.. . __ .._ ·-----·- _. ____ ___J_____1___.. ____,,___:.. ____ ,, L..... . .._l__._._ ... __J__ 86.

I

I '

88.

I

90. i91.

92.

J 94.

! 95.

96.

97.

\ 98

99.

JOO.

'IOI.

Sold 9118109 J

Closed I0/19/09 J c

Sold 8/21/09 J

Closed 9/18109 J

Sold 6/22/09 J

Closed 8/21/09 J

Sold 6/22/09 J

Closed 8/21/09 J

Sold 4117109 J

Closed 5/18109 J c

Sold 4117109 J

Closed 5118109 J B

Sold 3/23/09 J

Closed 4117/09 J

Sold 3123109 J.

Closed 4117/09 J

102. ALLIEDCAPITALCORP A lnt.!Div. J T

t. frn.:omt G11in Cot.les: /\ -=Sl,OCJOorlcss B =SI ,00 I - S2,500 {See Colum1111 Bl 1uuJ 04) F •SSU,001 - 5100,IHllJ G =Sltlll.tltll • Sl,000,000

2. Valu CoJe:; J :ooSJ S.000 or le:iS K s1s.001 -sso.ooo (S

-··------·-·A.-. __ __ __

_

-;w-··1·--6>

:_(Q-W) J i

i

! 1 108.

I

I '

i j i

' ' i

I !

Dale of R•porl Name of Person Rtporting FINANCIAL DISCLOSURE REPORT Page 10 of 46 04/29/2010MOODY, JR., JAMES S.

VII. INVESTMENTS and TRUSTS -income, •·a1ue, 1runsac1ins r1nc1"des 11iose •/spouse and t1ependent chilt1ren; see PP. 14-68•f/Uing1ns1ruc1i1m-

i i 1 121. !

I

! I 1 128.

i '

I

I j 1134. ! 1135. I

L -'v) ________ ________

J

------------··-----· ---- -····-------·--

-------

! I

I

!

i I

r------·

Dule of ReportName of Person Reporting FINANCIAL DISCLOSURE REPORT Page 11of46 04/29/2010MOODY, JR., JAMES S.

VII. INVESTMENTS and TRUSTS - income, val11e, tTGMll

- - ----(1!--T-m-T!3-i -;0J-:-···

_�?·W)

I ! i 1140.

1141.

I

1145.

1148.

I I

! I I I

I

I I

Name of Person Reporling Date of Report FINANCIAL DISCLOSURE REPORT Page 12 of46 04/29/2010MOODY, JR., JAMES S.

v II. INVESTMENTS and TR u STS - income, volt1e, transactions (/ncl11des thoso of spOllSe and dependent c/1ildren; see PP. N-60 of filing i11stntc1i1m.v.)

NONE (No reportable income, assets, or transactions.) 0 · r· ------· ··---····---------··-----·---· ·-·---·----- ·· - ---··-r·----· -- .. ----·--···----·- ----;-

A. D.! I B. i c. ' Description of Assets l Income during i Gross value at end Tr•nsactions during reporting period

(including trust assets) / reporting period ! of reporting period _ -- -- ·:·11)1_!2l ___T 0> 1 ·

Place "{X)11 aftcr ach asset i Amount l Type (e.g., I Value Value Type (e.g., i Date j Value ! Gain ' Identity of exempt from prior disclosure i Code I : div., rent, Code 2 Mcd1od buy, sell, [ mm/ddlyy I Code 2 i Code I buyer/seller

I (A-H) i or int) i (J-P) Codc3 redemption) ; i (J-P) ; (A-H) , (if private L___ -- ---· -----------· ·-·-----··-- ___________J___.._i_... ___.L___.. ····-·--··--·__l______l_.___J__, __ l_..._ ! . ·-·

137. Buy 613109 J

I 138. PENN (SELL CALL OPTIONS) Sold 6/4/09 J

139. Closed 7/20/09 1 A

PRUDENTIAL FINANCIAL None Buy 4124109 K i

Sold 6/22/09 K c I

I 142. Buy 3130/09 K

143. Sold 5/18/09 K D

144. PRU (SELL CALL OPTIONS) Sold 3/30/09 J

Closed 4/17109 J

146. RF (SELL CALL OPTIONS) Sold 8/21/09 J

147. Closed 9/18/09 J

Sold 4/17/09 J

1149. Closed 5/18/09 J B

! 150. Sold 3127109 J

151. Closed 4117/09 J

152. GEO THERMAL B Distribution K w

I 53. REAL PROPERTY

I, lm:omc Guin CuJ(S" A -...51,000 ur I( B•Sl,001 -S2,5110 C "S2.l01 • Sl,O(KJ D =SS,001 - S 15,000 E =Stl.001 -150,0IXJ iSce Culurnn:t 01 •md 04)

.!. Vulue Cutles f •Sl0,001 - SI00,000 J-=Sl5,0UO or lcn

G =S I00,00 I - S l ,Ol J,000 K =Sll,001 -SlO,llUO

HI :Sl,OUU,tlOI S5,UU0,000 L =SS0,001 - SIOO,OIJO

H2 =-More lh:m S5.000,000 M =SIOO,OOl -S2lt Columns Cl am.I 03) N =SZSll,001 • $500,000 O=SlOU,001 • $1,000,000 Pl =Sl.OOO,Ulll -$5,000,000 P2 =SS.000.001 - S25,000.000 3. Value MethtJJ Codes

P3 =S2l,IJOO,OOI • SSO,OUQ,000 Q ..Apprnisul R ...co�t (Real E!>tale Only)

P4 =More than SSO,U00,000 S =Ai;ses ment T =-C:1sh M;uket

(Si:e Cvlt.1mn C2) U =Dook Viiluc V"'01her \V =fatimaled

1

--= r;�:: ! -·-:com

:en

-;--12l --

___ L _L___L =W)

E T

U =Bi. .. n.:.k Vah1t

I !

;

-- ·-of A

----

---- : = --T�ross v c i------ ·----- ��:t;:n duri rc orting period

DPle or Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT Page 13of46 04/29/2010MOODY, JR., JAMES S.

VII. INVESTMENTS and TRUSTS - income, witue, 1r111isuctions r111c1ut1es 11iose ofspoiise umr i1cpem1en1 e11u11ren1 see PP. N-60 •ffiting instF111:1tuns.J NONE {No reportable income, assets, or transactions.) 0

(including trust assets) Ireporting period I of reporting period 1 -·(4>___

' !

1 (3) (5)r--m ____ r -

afo .. -r -0)_! __ (2)·---;--i-1i_t ___ (i)----1-(-2J--. __ _ _

______ --

I 1 112. [ i

J

I

Dure or Rt:porl Name or Person Reporting FINANCIAL DISCLOSURE REPORT

04/29/2010MOODY, JR., JAMES S.Page 14 of 46

VII. INVESTMENTS and TRUSTS -income, vut11e, transactions

rcp nin :.i --

[

I ! !

I

i i j I

I I

! :

! I '

I

I

-------�--- ---------------------- ------------

-----

FINANCIAL DISCLOSURE REPORT Page 15of46

Name of Person Reporting


Date of R purl

04/29/2010

VII INVESTMENTS and TRUSTS -income, ""'"e· transactions r11•.-111des those of>pouse and dependent c1111dren; see pp. 34-60offilinx1ns1r11c11.ns.J . 0 NONE (No reportable income, assets, or transactions.) ,--------------------;;:-------------------------- -----s-:---·--;----c:--------i----- ----------0.-·--------.

Description of Assets l Income during 1 Gross value at end ! Transactions during reporting period . I(including trusl assets) .--·- ..-�.rcporri period

188.

189.

190.

191.

192.

193.

194.

195.

196.

i 197. 198.

199.

200.

i 201.

202.

1 203. 204.

Place "(X)" aft..:-r each asset exempt from prior disclosure

I (I) i (2) - (I) : (2)'Amount ' Type (e.g., Value Value' Code I I div., rcnl, Code 2 Method , (A-H) or int.) (J-P) Couc3 I ' ' . (Q-W)

-- .•• ·-·---.·- --·-· .. ·---..--- -· ...._. __ ....J_____L. ·------ ----- ------

-- Duke Realty Corp

-- Duk

··-----r ----B.

--- ;-- -C.--·---i -----------·---o.---··-----·-··----

:-·m:-(2)--rm·---.-

tran .. actions

-B-

.

-------··-c.---·--·

J !

i i I i / i

I

\ ! 1235.

1236. ! l

-·--·---·-------L ?�\\'

--

-------------------------------------------------- ··-··----

----··---·-· ---

I

Dote ofR

o

-

A ts

----- --

�com= urin:-T ss v e --- ------�=sacti:ns f

iA�unt Typ 2leg: \ I -l-Ty 1:. .: ,· !c··;�� ,- in - -__ ___ ___ _____ _ _____ ___ _ __ __ __ _ ____ _

I l

1241.

I i

t I

!

/ j I

-------------------···-----···--------------------------·---

Date of Report Nome of Person Reporting FINANCIAL DISCLOSURE REPORT Page 18of46 04/29/2010MOODY, JR., JAMES S.

·

Vil. INVESTMENTS and TRUSTS - income, v111ue, transactions s D-SJ,llOJ • Sl,51111 C =S2,50l • SS,000 D•SS,001 -Sll,000 E =SJS,00! - S511,00tl(See Columm; UI :mJ 04) f =SS0,001 SJOO,OIJO G =SI 110,0tl I - SI ,OtlO,tlOO HJ =St,000,001 -Sl,000,000 H2 ""More than SS,600,000 -

2. Value C:otlc:s J .;.Sf 5,0IJO 1Jr less K =Sll,001 -SS0,000 L •Slll,001 • SI00,000 M ·.otSJOO,OOI -S2.50,00U(See Columm, CI and DJ) N-SllO,OfJJ -SlOO,OtlO 0 •SSOll,Otl I • SI ,000,0tXI Pl :.:Sl,000,001 -S.5,000,000 P2 =S.5,1)UO,OOI • 525,Uj>O,tMH)

rJ =SZS.OU0,0111 - SSO,

----�---------- -----------·---·-

_r - )_! _ r- ,. - (-J-_P_) �;1�_ --- ·:•mp::_j_ --(J-·P_)_ t_A-_BJ___ ; : :��2_ '

i i t 1 258. I

i i i

i

t !

I

------------------------------------------------------ ---------·--

C.

f , ! D NONE (No reportable income, assets, or transactions.) ...--·--··-----·-· _ _ ___ i3_A. __ T

i _

reporting pincome during

eriodi D.

Transactions during reporting period Gross value at c:nd reportingperiod

Value Value Code 2 M¢thod

Description of Assets (including trust assl)ts)

Gain Identity of 'Type (e.g.,buy, sell,

Type (e.g., div., ren

1lace "(X)" aficr each asset exempt from prior disclosure P ,I

; A ount i mi Code I i

f Date Value'mmlddlyy Code 2

\iCode 1 buyer/seller

l _ ---···------- · ·····-··-··--- . ----- - ------- J_ ____ ____ , 256. Sold 2/24/09 J

257. Closed 3/23/09 J c i

Sold 2124/09 J

j 259. Closed 3123109 J c

260. Sold 2/23109 J

261. Closed 4117109 K

262. Sold 2/27/09 J

263. Closed 4/17/09 J

i 264. Sold 3/25109 J

265. Closed 4/17/09 K

266. Sold 3/24/09 J

! 267. Closed 417/09 J c

268. Sold 2127/09 J iI!

269. Closed 416109 1 B

270. Sold 3/24/09 J

271. Closed 416109 J c I

272. Sold 4/9/09 J

I. fnc:vinc Guin CoJe:;: (Set: CvJumns DI anJ 04)

2. Value C.:>Je!;

(See Columns Cl :mJ 03)

3. V:ilue Medtutl CuJc:i. (Se Colum11 C2)

A ""SI ,000 or lc :ii F •SS0,0111 • SIOO,!UN)J c:iS 15,00U or )C!iSN ··s2so.001 - ssoo.ooo Pl =S2S,!XIO,UO I • SSO,t)()(),000Q•AppuisalU ""B uk Value

D •Sl,UOI -S2,SOO G =S HI0,00 I - S 1.000,UOO K =SIS,001 - SSU,00110 =SSOO,IJOI • Sl,000,000 R nCmH (Real Eslatc Only) V=Othcr

( s2.so1 . ss.ooo 111 =Sl,000,001 • $5,001!,000L =SS0,001 • SI00,000 Pl =Sl,000,001 - SS,000,000

P4 More thun SS0,000,000S =Assessment W=F.:-.timat1:d

D=SS,U\li ·SIS,000 E =Sl5.(Xll • Slil.01111 H2 =More than SS,000,000M -SIUO,OOI - S250,000P2 =SS,000,0UJ • S25,000,000 T..:CashMarket

' I !

' i j i I

l

!

·---···-----�----------·--·---···---·--·

.. L

'

i I !

Dale of Report Name of Person ReportingFINANCIAL DISCLOSURE REPORT Page 20of46 04/29/2010MOODY, JR., JAMES S.

VII. INVESTMENTS and TRUSTS - im:om•, value, 1runsacr1ons (Inctudes t1wse of spo•ts• unr1 dependent children; see PP· u-60•/1;11nx1ns1ruc1ims.) NONE (No reportable income, assets, or transactions.) D

, -- ---·· ------------··· -·--·----------- ---·----. A & C

Description of Assets i Income during ! Gross value at end i Transactions during reporting period (including trust assets) ; reporting period j of reporting period r--:-:---

I· (I) I (2) . (1) i (2) (l) i (2) ' (3) I (4) ' (5) ---i···--------- ----------r---··-·· i-··---·· r-··----····--·--···

Place "(X)" a cr each asset cxi:mpt from prior disclosure : : t \ : :;;;:· '. : ! ;.: ,, · T:; :·1 :· !m : YY \ : ; c : nI i : ;:;;: 1 :.

i (A-H) orint.) (J-P) 1 Codd redemption) i (J-P) (A·H) (ifprivatcI , ·

____ .. ___ ·--- .. . .. _____j____________ .. L( )___,_ ·--·--- - ! transaction)l -- '--- ____ _________________ ____

273.

1 274.

275.

[ 276.

277.

278.

279.

2so.

i 281.

282.

283.

i 284.

285.

286.

I : 287.

288-

289.

Closed 5118109 J c

Sold 4/17/09 K

Closed 5118/09 J E

Sold 3/25/09 J

Closed 5/22/09 J c

Sold 3/24/09 J

Closed 5/18/09 J c

Sold 419109 J

Closed 5/18/09 J c

Sold 6/2/09 J

Closed 6/22/09 J B

Sold 5/22/09 J

Closed 6/22109 J B

Sold 5122109 J

Closed 6119109 J B

Sold 5122109 J

Closed 7/20109 J c

l. rm.:ome Oain Codes: I\ •S 1,000 1)r lc11os ll •Sl,0111. S2,5t)O C =S2.50l - 55,000 D=S5,00I -S15J)OIJ E =515.tJUI • S5U,000 (SeeColumn:s DI •md 04) F •SS0,001 • SI00,1100 G •SlllO,tJOl -Sl,IMMl,lllHl HI •Sl,tlll0,001 • SS,O

-c1) 12»--i -0>-r-(2) --(z);-(3)"""'"i(4)_i ___

__ ___

-----------------------------------------------·····--··-----·-·-····-

! i

I

i '

!

Code I 1 div. rent

- --·ii) ·: - - . (5)

: (A-H) : o:int.) ' ; (J-P) j' Code 3 (Q-W)

Out• of Report Name or Person Reporting FINANCIAL DISCLOSURE REPORT Page 21of46 04/2912010MOODY, JR., JAMES S.

VII. INVESTMENTS and TRUSTS - income, •atue, 1rm1s) F •SSO.Olll • SIU0,000 J .,.:ii S,000 or Je )I N =S250,00 I • SS00,000 P3 =s2s,ooo,oo 1 - sso,omi.uuo Q =Appraisal U =Book Value

D =St ,001 - S2,5UO G •SI00,001 - Sl,000,llllO K =SIS,001 - SS0,000 0 =SS00,001 - Sl,U00,000

R =Cost (Real fatatc 01lly) V=Othcr

C=S2.Slll. SS,000

HI =Sl.000,001. ss.000.000 L =S50.001 - s1no.ono Pl =SJ,0()0,001 -55,000.000

P4 =More than SS0,000,00U

S ""/\ssessmenl W -=fa1imared

D •SS,001 • SIS,01 ) E ,,515,00I - 5U,00t) H2 =More rhan SS,000,000

M =SI00,001 -S250,000

P2 =ss.000.001 . s2s,ooo,uou

T =Ca::.h Market

__________ _____

! I

!

!

1320. i

-------·---------

1

' ! i

04129/2010

Datt of Rrport Name of Persoo Reporting FINANCIAL DISCLOSURE REPORT Page 22of46 MOODY, JR., JAMES S.

VII. INVESTMENTS and TR u STS - ink \'.1lue

B =S1,IHll - 2.500 G ,.5 I U0,00 I - S 1,000,0f l K=SJl,OOl -550,000 0 =SS00,001 -Sl,000,0!Xl

R =('ost (Real E!t1ure Only) \' 'Other

c =52,501 - 55,000 HI •SJ,000,001 -ss,000.000

l.·=S5-0,tl01 - SI00,000 Pl =Sl,000,001 - S5.000,0UOP4 =More than S.SO,OOl),Oili) S =A l'$sment W =fatimuteJ

D =55,001 - Sl5,000 E •Sl5.00J - S50,IJOO H2 =More th;m SS,000,000 M =S llXJ,001 -5250,001) P2 =SS,000,00 I - 525,000,000

T '=Ca!>h f\.farket

; ;

- - ----------·-------·-·----·--·--'-------·- --·---'

r·-I I

! i

j

!

!

1338.

!

------·· -------------- ··---------··--·------

i i

J i

-- ---_J

------------

i

i

!

I

-· -· - ----

Dale of Report Name of Person R---r·--i3)..'(4)·-;- -- (5)-rw ·T- (2)-- -----1-··ai- ·· Place "(X)" after each asset 'Amount : Type (e.g., Value ! Value Type (e.g., i Date ! Value [ Gain J Identity of

cx"mpt from prior disclosure ! Code I f div., rent, Code 2 Mdhod buy, sell, ; mm/dd/yy , Code 2 , Code I buycr/sdlcri (A-H) ! or int.) {J-P) Codd redemption) . ' (J-P) (A-H) (ifprivate \ ! ! ! (Q-W) i i ! ! 1ransaction)L_--- ·----·___.!·---·- _·--·-··-----1·-------- _,___:_____ __...-'_____ . __ ··----- - -- . _

325.

326.

327.

328.

. 329.

330.

331.

! 332.

333.

334.

335.

336.

i 337.

339 l .

340.

Sold

Closed

Sold

Closed

Sold

Closed

Sold

Closed

Sold

Closed

Sold

Closed

Sold

Closed

Sold

Closed

Sold

-

9118109 J

1015109 J c

9/18109 J

1015/09 J c

10/6/09 J

10/19109 J c

10/5/09 J

10/20/09 J B

10/5109 J

10/20109 J c

1015109 J

10126/09 J B

10/5/09 J

10126109 J B

10/5/09 J

J0/26/09 B

10/5/09 J

iI

I. income Gain Clldc:..: {See Columns 01unJ04)

1. Value CuJes (See Colulllns Cl and 03)

3. V:iluc Mi:thoJ CoJcs (See Colurnn C2)

A •S 1,000 ur less F •SS0,001 · SI00,000 J s I s,ooo 1.1r lc=ss N •S2lO.lllll • SSll0,000 Pl •S2 ,ll00,UOI - SSO,OU0,000 QAppraisilll; ""Book Vulue

B =Sl,001 -S2,500 G =SIOO,IJUI -Sl,000,000 K =SIS,001 • SS0,000 0 SS00,1)01-Sl.OIJU,llOO

R =Cost (Real fatatc Only) V =-01her

C =S2,5U I - SS,000 Ill =Sl,lllJO,OIJ I • 55,IXJO,OOO L =SS0,001 -SIUO,UOU Pl Sl,ll

- -A.-. -·-------: --- --0-

. --1 ----c.-----

--t2l · - l,-- -·-1 - (2)-- _

__ l_m_

! ·!. t:: J__ -nt -L: --_J ��L_-- rcdc��t:J_

! i

i

!

i I ! I i

i

NONE (No reportable income, assets, or transactions.). -··-··-·--·---···--·· o ·

ocscription of Assets 1 Income during 'I Gross value at end Transactions during reporting period (including trust assets) 1 reporting period of reporting period

:--w,-- ___ (i) '(3)T!4>--·---- (5) Place "(X)" after each asset ; Amount I Type (e.g., Value Value Type (cg., Date I Value ! Gain ; ldcntoty of exempt from prior disclosure Code ' · I div., rent, Code 2 1 Method 1 buy, sell, 1 mm/dd/yy : Code 2 \ Code I J buyer/seller

---·--

--- -

. .. -

-

- -- . - -- . . .--

-

---

-

_ ___ _j_(J-P)_j = --

-- : :.:; )

341. Closed 10126/09 J B

342. Sold 1015109 J

343. Closed 10/26/09 J c

1344. Sold 8113109 J

345. Closed 10114/09 J c

346. Sold 9/18/09 J

! 347. Closed 10/5/09 J D

348. Sold 9/18/09 J

349. Closed 10/5/09 J A

350. Sold 9/18109 J

351. Closed 1016/09 J c

352. Sold 9118/09 J

353. Closed 10/6/09 J c

354. Sold 8/13/09 K

355. Closed 1015109 J B

356. Sold 9/l8/09 J

357. Closed 10/5109 J D

I, Income Gain Colles: A •S 1,000 or less B 0S 1,00 I • S2,SOO C =S2,SOI -$5,000 D-SS,001-Sll,OOO E "SIS.Oil!· SStl.OtlO (See-Column:; Bl nntl 04) F •SS0.001 - SIOU,000 G =SJllO,Ulll • Sl,U00,000 HI =Sl,000,001-SS.O(lO,OOO H2 -More thon SS,000,000

2. Vulu'= Cul.Its J ""$1 S,000 or le$., K. =Sl5,00l -S51l,OOO l.=SSO,OOJ -SI00,000 M =S I00,001 - 5250,UOO (See Columns Cl uml 03} N •S2SO.OOJ - ssm.m > 0 =SS00,001 • Sl.OU0,000 Pl =Sl,0(){),001-SS,000.1100 P2 =Sl,000,001 • 525,000,00U

P3 •525,000.001 - Sl0,000,000 P4 ... More tMn 550,000,00U J. Value MelhOO CoLles Q •Appr:1isal R ·::sCust (Real tale Only) S"'AssC'S.Smeot T ""Cash Matkel

(Se-e Column c:n U 2Dook Y::ilue V=Olhcr \\'=fatim;iti:c..I


Name or Person Reporting


Dote of Repurl

0412912010

Vil. INVESTMENTS and TRUSTS -income, vutue, transactions

____ __

'--- porting p riod - cpo ng perio

I 1360.

1361.

1362.

i

! i

1369.

' '

I

-·-c-11 ___

: Code 1 i div., rent, Code 2 I Method

Dale of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT Page 25of46 04/2912010MOODY, JR., JAMES S.

VII. INVESTMENTS and TRUSTS -income, •·atue. transa«lions r1nc111des 1tum at spoiu• and depe11de111 c11ildren; see PP· 14.,0 offtlini: i11s1r111:1i1111.•• ;

I'

Code 3 redemption) ;I

I (A·H) : buycr!scllcr(ifprivatc

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

·--· .._ ,,_,,___·-;-·---·-"-G.:"'"------·-----·_ _ A. ; B. C.

I Description of Assi::ts J Income during Gross value at end! (including trust •ssets)

.! (I) i (2) , (I) i (2)' iPlace "'(X)" after each asset , Amount ! Typc (e.g., v I a uc I valuc

exempt from prior disclosure (A-H) (J-P)or int.}

D. T rnnsactions during reporting period

-c2)___ icnTc.lcs (Sec Columns Cl anJ IJ))

3. Value Mt:lhud Code:\ (See Column C2)

A =S 1,000 or less F •SSO,lNll • SIOU,UOO J =-S 15,UOU or less N •S250,0UI - SSlMJ,OlNJ P3 =$25.000,001 - SSU,000,UUU O /\ppraisalU =Rook Value

B •Sl,001·52,S

··-;;,,-:- ·----------------,-------8-_

-

t ii

[(i)·-i - -(2)-i - 71) 1 --- (2)_\_-----rn- 1(2-) -(Ji-:-·-·(4)-·-;-----Method

redemption)

Valuei' Type(e.g., I

; _____ ___ __L___ ----- _ _

i i

i

I

i

I 1385

.

I

I !

i

--·-·· ------- -------

i

I ! !

! i !

l>ate of Rcporl Name of Person Reporting FINANCIAL DISCLOSURE REPORT Page 26of46 04/29/2010MOODY, JR., JAMES S.

VII. INVESTMENTS and TRUSTS - income, •utue, transaction• 11nc111des 11iosc of spouse and dependent chitt1ren1 •••PP. N-60 u11111ng 1n.1r11c1;,.,, •• ; NONE (No reportable income, assets. or transactions.) D

--·--- - ··-------· ---------, ---e:--:-----r---- --------------i:i"":-·---------- --------· · -Description of Assets

(including trust assO G =S lOO,llOI - Sl.IHlO.illlll HI =SI ,000,001 - 55,000,0llO H2 =Mure than SS,000,000

l. Vah1c COOcs (See Columns('\ and[)))

J ""SI 5,000 or lesi N =Sl50,l>OI • SSU0,000

K ··Sl l,001 - SS0,111>0 0 =SlOO,llOI • Sl .000,000

L =550,001 - SIOl),000 Pl =S1,0IJ0,00 I - SS,000,000

M =SI 00,00 I - Sll0,000 Pi =Sl,()(Kl,001 • 525,0oo.ooo

J. Value MelhmJ CurJcs

(Sl'.'e Column C2) -----· ..

Pl •$25,IHIO,OO l · Sl0,000.IXIO Q .::Apprni al U =::LJmi Vulue

R ""Cm.1 {Real Esm1e Only) V =Other

P4 ""More than S50,00U,000 S =l\s$essrnent

W -£))t11na1cd T =Cash Market

:=--- end--[-- : rtmg

" - --- ----------·--- -----·-' ---

/

l

!

i i i 1 402.

I

-··-----·-------------------------------------------------

--------- ···---·-·-----"-··-

I


Nome of Person Reporllng


Dale or Report

04/29/2010

VII. INVESTMENTS and TRUSTS -i11com•, vu111e, 1runsuc1ions r1nc11111es those of•pou•• umtJependent childnm; see PP· J.J-4U of filing ;,,,.,,,,.,,;11ns.J

D NONE (No reportable income, assets, or transactions.) i--- - ---·------::::;� - ------! com! :, ,:;-- - Gross v :t

-- - ---

Transactions duri pc : -- -1 (including trust assets) ; rcportmg period l of rcporttng period

/ -oi--! -< --H2 =More Chan S5,000.UOO M "=$100,001 - S250.000 P2 =SS,000,001 - S25,000.il00

T =Ca&h Milrket

F.=SIS,(Ull - S50.01Ml

1410.

1411.

1412.

/ ' ! I j 1415.

j !

i

!

! i 1421. 1422.

!

__ _______ ---

- ___ ··--_l_------·-- ------ !_ ·W) __ _

J c I

! I

(mclud1ngrrust assets)

Dale ol Report Name or Person Reporting FINANCIAL DISCLOSURE REPORT Page 28of46 04/2912010MOODY, JR., JAMES S.

VII. INVESTMENTS and TRUSTS -in•ome, value, transactions po11•e anr1 dependent .i.;1r1ren; see PP· 34-60 offili11g ins1mc1ioirs.J D NONE (No reportable income, assets, or transactions.) -------- -- - A. -- ----

Dcscnption of Assets ---- --i- ----a.-·· - ; --- ---E·------ ---- ----------- - --··-o.- ·--· -· · ---·· :

Tncomc dunng J Gross value at end Transactions during reporting period --- - · -·- -·--

Placc"(X)"aftcrcachasset

1 reporhngpcriod ' of reporting period ; -m: >---:-----:-m·--- ---m- --,.-rn----:-·13>--'!4>--r ·------(s)!Amount i Typo(e.g., : Value '. Value Typc(c.g., I Date i Value ) Gain ·: Identity of

Code Ij Code 2 I ,. buy, sci redemption)

I mmldd/yy ! Code 2 1 {J-P)

I ' Code I buycrlscllcr! div., rent, exempt from prior disclosure Method

Code 3 (A-H) (ifprivutc ------ i: . ..

(A-H) · or int.) (J-P) .!__I

409.

413.

414.

! 416.

1417.

i 418.

419.

420.

423.

424.

425.

_!.__ _____ _j____. -

Sold 3/24/09 J

Closed 4/l 7/09 J

Sold 4/17109 J

Closed 5/15/09

Sold 5122/09 1

Closed 6/19/09 J A

Sold 5122109 J

Closed 7/8/09 J B

Sold 6/19109 J

Closed 8/17/09 J

Sold 719109 J

Closed 8113/09 J

Sold 717109 J

Closed 8/20/09 J

Sold 8/13/09 J

Closed 918/09 J

Sold 918109 J

_.__j _.·· - - ----···-· - -- ---- ··--·--·----- _ · -

1 I. lnc:omeGainCod : A .cS I ,OOU or Jess D =Sl,001 -52.500 (See Column:,. ll) am.I 04) F •550,001 -SICJO,UOO G =SIOU,llUI -Sl.OIJ0,000

2. Vatue Colics J ="Sl!i,OOU or Ins K •SIS,001 • SS0,000 (Sce-Column CJ and 03) N ·szsu.001 - ssoo.oon 0 •5500,001 • Sl,000,000P3 =s2s,1100,1x11 • sso,oon,01m

3. \I .lluc Mediod Cixlcs Q ""Apprnisul R !:'Cost (Real E:.tatt Only)(St"e- Column

lncom=d�:--r-Grnss v -•t

_

c

_

n

_

d- -----·-

------- : =

ti:.-�=� rc =- · :r-

io-d

___ ___ L ____ _ _,_ _

____________ __._ __________ -----·· ·

i

i

i

\

/ L -· ··--·

i

I

0

i (A-H) ; or int.) : (J.P) ' Code 3

Dule or Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT Page 29of46 04/29/2010MOODY, JR., JAMES S.

VII. INVESTMENTS and TRUSTS -incumt, value, transactions (Includes those •ifspouse and dependent children; see pp. 34-60 of filing Instruction ..) NONE (No reportable income, assets, or transactions.)

- ··---- ��:�i:i · :r .==------·-:·

(including trust assets) j reporting period \ of rcponing period _ _1(1)-;----µ)-- t

_______ -- -------------------- -

__ or

in -(J-P)·- _i__�;�LJ_rcdcp

tion

j __ -- ___

1 443. 1 444. I 1445. i

i 1 447. i

1 448.

I I

\ !

i I I '

!

' ! i

B. ;---c:.--NONE (No reportable income, assets, or transactions)

Income during I

Oat• of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT Page 30of46 04129/2010MOODY, JR., JAMES S.

VII. INVESTMENTS and TRUSTS -income, value, rransaclions r1nc1udes 11iose t1fsp,,use and dependent chHdren; #epp. 34-60 u/Jillng i11s1ruc11un.•.J D

-: - --·----·-----A� --------.---- . ------------------· ------···---D

Transa.:tions during repor1ing periodDescription of Assets{including trus1 assets) )11•: Gross value at end

ofreporting pe iod '! reporting period !-·------·------·--- ---------f------------------------! (l) I (2) (l) (2)l Value _______________:;----T'(I) . (2) i (3) ' (4) (5)Date Gai buycr/sdlcrIdentity of

r (iPlace "(X)" after each assetexempt from prior disclosure

' Amount Typll CuJes Q•Apprnisal R "'Coi.l (Real fat..11e Only) S =As:;e..,sment T =Cash Mark(t

(S(' Column C2) lJ =Book Value V=Ottier W-::of::stirmued

i I

I ;

'

I

i I i

i

i 1472. I

-A ------------··--··-, ------- ···--·-i --·---· c.---·1--·--··-----· ···--·---D- . ---- -·-------------

-·-- ···-··---·---------·-! ___ __ L__j_

f (2-) --, tles: (See Columru. BI :mrJ 04)

2. Value C'uJe!:> (Si:c Culumrlll C) 1111t.I DJ)

3. Value Methud Colles (See Column C2>

A •S 1,000 or less F •$50,001 • SI00,000 J •SIS,000 or lc:.:;:s N •S250,00I • SS00,000 P3 ·•S25,000,1Hll • SS0,000,tJOo Q•Appr..aisnl U Boc)k Value

B •SI ,OU I • $2,500 G =SI 00,00 I · S 1,000,11110 K •515,001 -SS0,000 0 =SSO

__ --- --·--·,__·----· -- - --

c

I

i

!

_____ _

i

I

I

I

i !

I I i

I

I i

l I i

!

(SJ

Dute or ReportN amt of Person ReportingFINANCIAL DISCLOSURE REPORT Page 33of46 0412912010MOODY, JR., JAMES S.

VII. INVESTMENTS and TRUSTS - meome, vutne, tronsuct1on•

D NONE (No reportable income, assets, or transactions.) -- ---··-· ....: _________ . ______ ·----- --·---.-------·------ -----------·--------· ---·---···--·--- -----·--·-·-- ----------- ----·- ---·-·------_________ r.

; A. ; B. i C. D. r ·1 Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period , of reporting period

;--iG-:·-(iJ--r(J.i---l---- ---- ill - --i2)--,-(3)-f_T- __ iAmount ! Typc(e.g., Value I Value Type(e.g., \ Date J Value : Gain i ldcntityofPlacc"(X)"atlcrcachassct

' mm/ddlyy ! Code 2 ! Code I ! div., rent, Code 2 I Method buy, sell, Code I 1 buycrf.s\!llcrcx mpt from prior disclosure !(A-Il) : or int.) ; (J-P) , Code 3 redemption) : (J-P) (ifprivate(A·Il):

! • ! (Q-W) ------L·----'-..---·---1.---;-·--.._L___

i /: transaction), ,'---- ·---·· ------- ... _ .. . ._ .._____ ---- ·------ · ------------" .. .. - ........ ........ .

494. Closed 12/28/09 J

495. Sold 10119109 J

496. Closed I 1120/09 J c

497. Sold 10/5/09 J

498. Closed I 1/20/09 J D

499. Sold I0/5109 J

i 500.

501.

502.

503.

504.

505.

506.

507.

508.

509.

510.

Closed

old

Closed

Sold

Closed

Sold

Closed

Sold

Closed

Sold

Closed

11/20/09 J B

I0/5/09 J

l 1120/09 J D

9/8/09 J

10/5/09 J

7/8/09 J

10/5/09 J

719/09 J

10/5109 J

9118/09 J

10119109 K D

I

I

l

!

l. Income G:iin CoJc!>: (See Columns BI and l.>.J}

2. Valu Co ! (Sec Colum1\ Ct ;inJ DJ)

3. Value Me1hn(I Codes (S e- Cnhunn C2)

/\ ::rS I ,000 or lc s f =SSU.flfll • Slll0.000 J zS 15,000 or less N •5250,00 I • $500,UOO Pl =S25,0IXl.IXll - SS0,000.00U Q =l\pprai:wl U ""B

i(i_)_i_'2_> -:-;·i)· --: ·m-·--

'----·-··- -·----- -·---··-·---'-···----·--- ·---'----- · -------· --····----' --···-

i I

' 1515. ' J I

i I i

I

i i I ' '

! i

------------- ------------- -------

-----(li--T-i2J----,--(3)'.(4)--,-----

___ _ __

__ ___ _

_ _ -----

i

i

i i

I

' '

I Code l i div., rent,

(Q-W) : (1-P) · (A-H)

Date or R

···-··--.·····--

--

I I

i

I

I

I ! I

!

15

58.

i

I i

i [l un:r -·r-��1 e---· 1-��---

··

--

Y1i:-g.-. - !: - -e- · :C"-, ---Id - : -·

Q•Apprais1.1IU .,.nook Value

R =Co:sl (Real Estate Only) V=01her

S =Aios s.menl W E:-,tirnuted

D•Sl.001 • Sll,000 H2 =M\lre than S5.UOU.OOO M =SIOO,UIJI -$250.000 P2 •55,0IMl,llOI • 525,llllO,OllO

E =Sil.WI - 550,000

T =Cash Murkel

_.. -- .. --...

!

I j i

'

I 1 575.

;

--

...

--

-----·-·· -'-··-·_;__-

-- ----

l

i

I !

------·-----------------------

------------------- ·-··--- ---·--··-·--·-···--··----------

. i j i transu.ction)

Dute of Report N•me of Person Reporting FINANCIAL DISCLOSURE REPORT Page 37of46 04/29/2010MOODY, JR., JAMES S.

VII. INVESTMENTS and TRUSTS -income, vutue, 1ransac1ions r1nc1ut1es 1110•• 1>fspou•• und dependent c1.;1i1ren; •••PP· u-60 ufJiling "'"",,..,;,,,.,_, 0 NONE (No reportable income, assets, or transactions.)

----·----·-·-· ---------------T-------------------· A ., R I

Description of Assets Income during ! Gross value at end (including trust assets) rcponing period I of reporting period

- - ·· ·---------1----··- ----

I 11i t

2. Value COOc:s 1 =SI 5,000 or less K =S l S,00 I • S50,000 L =550,0IJI • SIOO,OO

__ ___

1579. I

I I

!

I i I

! \ !

I 1594.

-·--·--····--- ··-·--------------

__J

------------··--·--·----·--·--·--·--

I

I l

I

I i i i

0

;--(l>--°'1 - (2) ---i---- --- ·-c-1>--1--w-1w--1--:--·- ---is>-··-----····

Dal• of Roport Name of Person R•porling FINANCIAL DISCLOSURE REPORT 04/29/2010MOODY, JR., JAMES S. Page 38of46

VII. INVESTMENTS and TRUSTS -income, varue, ffansucrions r1ncr11des ,,,,, •• ,,,.p,.,m ""''dependent children; see PP. J.s-1>0 ofJllin11 ,,,,,,,.,.,;.,ns..>

NONE (No reportable income, assets, or transactions.) · · - · · ··--- - D.· · ·---- ·--;;:._--- ---·---··· 1--·--0.----,---E---

ocscription of Assets Income during Gross value at end TransaL'1ions during reporting period reporting period j ofrc:poliing period

Type (e.g., I Dare ' Value ; Gain ! Identity of

(including trust assets) i

Placc"(X)" aficreachasscl Value Value• Amount Type(e.g.,1i

:!I iI!. buycr/sclkrCode II!exempt from prior disclosure

redemption) -· --··- - -- ! _L,________ -----·-·j_______J__··· ·-L

... --· · ·l___________ l._ 2___- -

Code Code 2 Code 2div., rcnl, I or int.)

' Method buy, sell, mm/dd/yy ! l (ifpriv.orc

--- a 1ion)j (J-P) ; (J-P) : (A-H)(A·H) Coddi ,

·-· · ---·· _____ -·-.. ·-··-·---· - ·· -Sold 413109 J

580. Closed 4117/09 J

581. Sold 3/24/09 J

582. Closed 413109 J A

583. Sold 2/18/09 J

584. Closed 3/20/09 1 B

1585. Sold 2/18/09 J

586. Closed 3120109 1 A

587. Sold 1/23/09 J

588. Closed 2/18/09 J c

589. Sold 11120109 1

: 590. MORTGAGE REC. #2, Wimauma, FL A lnt./Div. Matured 6/30/09 L

591. -TRUST/MERRILLLYNCH E lnt./Div. 0 T

592. -- Bank of America Buy(add'!)

l/30/09 J

593. -- BAC (Sell Call Options) Sold 10/16/09 J

Closed 11/23/09 J B

595. Sold 7/30/09 J

··--··-··---�-----I. J ome Guin Cudes: A us I ,OOU or IC:ili B =Sl,001 • S2,500 C ='$2,501 -S5,000 D =SS,001 - Sl5,0llO E =SJlJHll - S50,00ll (See C1>lumns 01:1111.l04) F •SS0,001 - S I00,000 G =SIOO,UUI • Sl,000,000 HI =Sl,000,001-S5,0r less K •Sl5,oor -Sso,ouo L=S50,00I Si00,000 M •SJ00,001 • $250,000 (See Columns CI and DJ) N •5250,001 • ssuo.ooo O=SSll0,001 · Sl,()(MJ,000 Pl sr .00-0.001 • SS,000,000 P2 •SS,000,0UI -S25,000,llOO

PJ s2s.uou.001 - sso,000.000 P4 =More than SSO,U00,000 3. Vnlue Melhul.I Codei. Qc-/\ppmhH'I R 2Cost (Real Estale Only) S =Assessment T '-"Cash Murkel

{Si:e Column C2) U :11.Bouk Value V"'Olher W .-."E:.hma1ec.I

-- lncom= un g--r:ss :�cat Tra=a tio: : =:�::·P :=-__

---

i 1599.

! I

i ! '

I 1 604, I i I 1607.

I

i

-----------------·-------------------- ·---··

I I

i :

i

! i

! i

I I

I !

i

-�'

04/29/2010

l

Dute of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT Page 39of46 MOODY, JR., JAMES S.

VII. INVESTMENTS and TRUSTS - income, •atue, 1ru11Sucdo11• r1nc111Jes 1hose ofspouseand dzpent1en1 c11;1t1ren; see PP. >4-6o offi11n11 insrruc11ans.J D NONE (No reportable income, assets, or transactions.) :·------· --- . ' cri :. �=--- --T-

end-- - - ·-- - ... --- ·-

(including trust assets) ! reporting period Lof reporting period ' :m-.,-00 0 •·SSOO,UOI • Sl,000,0tHJ

R =Cost (Re:al Estate Only) Vw01h r

C =$2,SO ! . SS.000 HI · St ,000,001 • SS.000,00ll L =SS0,001 • SlllO.OlHJ Pl =Sl,000,00I • SS,000,0UO

.P4 a(l..fore lhan sso.000,000 S""Assessmc:m W .,-E.s1imuted

D =SS,001 • Sl5,000 E =SJ5,00I - 550.UOO H2 =Mo1e than S5,000,000

M =5100.00J • 5250,0UO P2 =SS,U00,001 • S25,000,ooo

T =Cash Market

'----------·--' ---T--···

! !

i

i

i 1 620. 1 621. I

/ I i .

I 1625.

1626. :

I i

I

.. ---- ··-----·-· -,,_:-·-·-· -· --·-·---·---r--·-a.-·-·-·--;·---·-E --· i· -·-- -· ···· ·--···· ·-··--··· ··-· --ocscription of Assets I In-come during ! Gross value at end Transactions during reporting period

(including tr'ust assets) i reporting period ) ofreporting p riod -··------· ··-····--· · r -----·-·- ·-

i (1) I (2) i (I) I (2) I (J) ! (2) I (3) I (4) ' (5)Place "(X)" aft.er ca.ch asset cxcmpl from prior disclosure ; Code I : div., rent, : Code 2 . Method buy, sell, · mm/dd/yy : Code 2 i Code I buyer/seller

(A·H) or int.) , (J-P) I Codc3 redemption) i ' (J-P) (A-H) (if private i Amount I Type (e.g., : Value I Value ypc (cg., I Date I Value ! Gain , Identity of

I I I (Q-W) : l ' transaction)·· ··--·-· ·- __ ---· ·--·--- ·-----------·--·· ·---.-·-----·-__l_.. __l_ ----L-- ---· ____ ....-...L._ _ -- .L __ ·- . l_. ___ L---613.

! 614.

! 615.

616.

617.

618.

i 619.

--BB&T

622. !

623.

i 624.

•• BB&T (Sell Call Option)

'627.

628.

629.

I. lncume Gain Cudes: (See Column:> 0 l aniJ 04)

2. Value Code (See C"l>lumn Cl anJ r>3)

i 3. Vi1lue Method CoUt:. (See Column

-- -- com=·d r:g--l- ross�� :-- ,--

Ttansact:sdu:� eport1::pcrto --·-··-

_(1r;po

ng p« o ; rti g p_c�;d -(4)-,-·

1 630.

I 1 634. ' \ f

/ I i 1 641. 1642.

---·---·-------------------------

i

i

I

j

' Code I i div., rent, I i transaction)

D•le ul Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT Page 41of46 04/29/2010MOODY, JR., JAMES S.

D VII. INVESTMENTS and TRUSTS - income, vi1tue, mmsucdon• (t11ctlldes tho•"' 1>fspm••eam1 dependent c11udren: ,.,,,,,. J.1.60 uffltinx '"'''""'11ms.>

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

-·- --- -· ----D

ipti;;of sscts___ _ ----- . :

r(including trust assets) __ __l__ (I) ___!(i)--,. _ (J}--;-· ___ (S)

Placc"(X)"aftcrcachasset I Type(e.g, ., : dentity ofAmount' ValueValue Type(eg i Date Gain ! II Value 1

Code 2 , Code I 1'

buyer/sellerexempt from prior disclosure ' or(A-H) 1

_..__• ---··-· ·-- ··------····-· __________ _J_ __ --buy, sell,

rcdcmpuon)

I mm/dd/yyCode 2 Method I'

· I Code 3 (ifprivate

_____L______ __L_________

(J-P) (J-P) (A-H)int.) ;! f ' I (Q-W)------ - -- _ ··-· -----·-... _

631.

632.

633.

635.

636.

637.

i 638.

i 639.

640.

643.

644.

645.

'

Closed 9118109 J

Sold 7{30109 J

\ Closed 8!21109 J

Sold 4111109 J

Closed 6/18/09 J D

Sold 3116109 J

Closed 4117!09 J

Sold 3/23(09 J

Closed 4117109 J

-- Exxon Mobil Corp Buy 12/18/09 K

-- Home Depot

-- Home Depot (Sell Call Options) Sold 4124109 J

Closed 6122109 J B

--SunTrust Buy 1130109 J

Buy 2110109 J (add'!)

Buy 12/17!09 K (add'I)

646. -- Wells Fargo & Co Buy 6/18/09 K (add'I)

I

!

I. Income Gai11 Codes: (See Column D! and 04)

2. Vulue Ct>des (Se:e Culunmi. Cl anc.J 03)

J. Value Me1hod Cutle!i (See C.'lumn C2)

A -.s1.uoo ur less F ssu.001. s1110,ooo J•Sll,OUOorle,..

N •5250,()(1) • $500,IMIOPl cS25,UOU,OOI • S50,0tMl,OOO Q =Appraisal

lJ "'-Duuk Vnlm:

ll •S l,UU J • 52,500 G •S 100.001 - Sl,000,000

. K •StS,001-SSU,OOO 0 •S5tlO,tllll -Sl,OOO,OOO

R =C t (Real fat:)IC Only) V=Other

C =S2,50 I - S5,0()()HI =Sl,000,001- SS.tlll0,000L -550,OU,OOO

M =SIUU,001 - S2.SO,l)tl0P2 •S5,UOO,OOI • 525,000.Ul l

T ,..,Cash Market

r-(l-) :--(2Jt--(l)-----,--(-2)-- --(-ll--t--(2) ____ _

I l

--·--------·-------' __ _____ __ ----�------_j ·-·----!_. ____ _______

K c

1 650.

' '

---- ---

,______,_.,

------- --------·- --·-

-·-

I

'

I

I

I

--------: c c: =� �=-

------r ---:� m u::J Gross:�:: end_ Code l J div., rent, I Code 2

Dute of Report Name of Person Reporting .FINANCIAL DISCLOSURE REPORT Page 42of46 0412912010MOODY,JR.,JAMESS.

VII. INVESTMENTS and TRUSTS -1ncom•, var,.., 1ransuc1ions r1nc1udes 11tos• 0Jsp1111se a11d d.:penden1c1.;1dr.n; see PP. >

----····::;:: -:As

---·-- v:� I ,---

1664. 1665. 1666. '

I 1672. I

I

I

I j !

i

-·--·--··---- ····---_I ( : _Lorint.) __ -��=-.J rc mption) ____

i l

I '

-(!>- .

Date of Report Name.of Person Reporting FINANCIAL DISCLOSURE REPORT Page 43of46 04/29/2010MOODY, JR., JAMES S.

VII. INVESTMENTS and TRUSTS - income, ""tue, transac1i11ns r1nct11Jes 1h11se of spouse "nd dependent children;••• PP· 1-1-60ofllling1ns1ruc1i1ms.J NONE (No reportable income, assets, or transactions.) 0

....:·-···-··· --- -- - - ···- - . --:- l T - nsactions duri ::o : :: m uring - . nco Gross at end Tra__ p(including trust assets) ; reporting penod i of reporting period . ____ J!·w·:--(2J ___ -w - -C2>T-:-r- _____ -- (5)

Place "(X)" after each asset 1 Amount ' Type (o g.. Valuo : Value Type (e.g., i Date i Value ! Gain 1 Identity of exempt from prior disclosure ! Code I J div • rent, 1 Code 2 I Method / buy, sell, i mm/dd/yy I Code 2 I Code l i buyer/seller

·--····· ! .. - : i_____1 -:i: _J �� :��; - -·

!

l 667.

668.

669.

670.

671.

i 673.

! 674.

! 675.

676.

! 677.

678.

679.

680.

-- STI (Sell Call Options) Sold 12/9/09 J

Closed 12121/09 J B

Sold 9/18/09 J

Closed 10/19/09 J B

Sold 9/18/09 J

Closed 10/19/09 J c

- · . . Sold 8/21/09 J

Closed 9/18/09 J

Sold 7/30/09 J

Closed 8/21/09 J

Sold 7/8/09 J

Closed 8/21/09 J

Sold 6/22/09 J

Closed 8121109 J

Sold 4/17/09 J

Closed 7/2/09 J B

Sold 4/!7/09 J

l. 1111.:ome G in COOcs: A =S 1,000 or less B •St,001 • S2,5fl0 C =Sl,501 · 5.000 D •$5,001 - SIS,000 E ·•Sll,001 • Sl0.000 (Sre Culumn:o CU wKI 04) F sso,001 . swo,ooo G •S 1ll0,00 I - SI ,llrnl,000 HI =Sl,OUU.UOI - 5.noo.uoo H2 =Mure rhan S5,0on,ouo

2. Vaine (.\1Jes J .&SI s.ooo or' " K =StS,001·550.0lMI !. =SS0,001 -SI00,000 M ·--=S 100,001 .. S2S0,000 (See Columns Cl an

!0>f!2-) -1

Name of Person Reporting Date of Ileporl FINANCIAL DISCLOSURE REPORT

Page 45 of 46 MOODY, JR., JAMES S. 04/2912010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndit•atepurto/Rrport.)

Part Vfl Information & Explanations:

All Wells Fargo positions are a result of the acquisition of Wachovia Line #94 on 2008 report for Calamos reflected partial sales. The entire Calamos position was disposed of during 2008. Line #157 on 2008 report for Wal-Mart reflected partial sale. The entire Wal-Mart position was disposed of during 2008. Several call options were sold at the end of2008 that were inadvertently not reported.

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 46of46 04/29/2010MOODY, JR., JAMES S.

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 lnformation not reported was withheld because I! met applicable statutory provisions permitting non-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WIU+'Ul,LY FALSIFI AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FrLING INSTRUCTIONS

Mail signed original and 3 additional copies to:

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

Documents

€¦ · POSIIN ORGANIZATIONENTITY H fITRUST PARTIES AD MS -· .. . ('} ( ): . " · c, -,l C) = :0 -·-" < ( ) FINANCIAL DISCLOSURE REPORT . Report Required by the . Ethics AO