Robert L Anderson III Financial Disclosure Report for 2009

8/3/2019 Robert L Anderson III Financial Disclosure Report for 2009

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A n l 0 ] FINANCIAL DISCLOSURE REPORT R w o , , R e q u i r e d b ) , t h e E t h i c sin Government Act of 1978Rev. ~/2o lo[ F O R C A L E ND A R Y EA R 20 0 9 ( 5 v . s ~ c , c , p t , . L I o l - t t t )I . P e r s o n R e p n r t ~ n g ( l a s ~ n a m e . ~ r s t , m i d d l e i n i t i a l ~ 2. C our t o r O rgnn " I za t i on 3 . D ate o r R epor t

ANDERSON, l l I , ROBERT L, 11TH CIR. COURT OF APPEALS 0 5 / 0 4 , ~ 2 0 1 0

4. Ti t le ( :~a ic l~ l l l i udges i nd ica te ac t ive or sen,or s t a t~; 5~. Repor t Type (ch~ck appro l ;na te lype) 6. Report lng Period =m a g i s l r a t e j u d g e s i n d i c a t e f u l l - o r p a r t - t i m e ) [ ] No m i r m t i o n , D a l e 0 1 / 0 1 ~ 2 0 0 9U .S . C IR CU IT JU D G E ( s cn ior ) [] Initial [] Annual [] Final to12/31/20095 b . [] ~ m e n d e d R e p o r ~

7 , C h a m b e r s o r O f f ic e A d d r e s s I L O n the bas i s of the Informat ion on lained in th ls Repor~ and a n ) modi f i ca tions p~ r i a inIng lhere lo , I t Is~ in my opinion , i n compliance5 6 Fo r s y t h S l r ec t , N. W. wi t h ap p l i cab l e l aws an d r eg o l s l l o n s .A t l a n t a , GA 3 0 3 0 3

Reviewing Off icer D a t e

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

~-~ N O N E (No reportable posi t ions.)pOSITION N A M E OF ORGANIZATION/ENTITY

L F~LLOW AMER~A~AR~OUNDATION

. , - . ,~ : . -" : . ~

[ I. A G R E E M E N T S . t~,~,,,,~/,a/,./a~*to,O,;~o,/,~. ,..::"~ N O N E (~ro reportable agreements.) . . . . .

DAT~ PARTIES A~ TERMS. " a ~ ."I . I ]/7, ~7 R. ~g ic r Ande rs on , l l l iCh~g . Sc hw ab & Co . Cus v : IRA ro l l ov c r


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FINANCIAL DISCLOSURE REPORT Iame of P.r*on Reporting D~.te ol ReportP a g e 2 of 9 [ ANDERSON, I I I , R O B E R T L . 0 5 / 0 4 / 2 0 1 0I ll . N O N - I N V E S T M E N T I N C O M E . (Reporting indi~.id, ual and sp .... ; see pp, 17-24 of filing instructions.)A. Filers i ~ o n - l n v e s t me n t In c o meNONE (No rep o r ta b le n o n - in ves tmen t i n co m e. )

D A _ A . T ~ SOURCE AND TYPE I N C O M E ,( y o u r s , n o t s p o u s e s )I,2.3.4.

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - If you a~re married during any portion of the reporting year, complete thi~ section.(Dollar amotmt not required except fl~r honoraria.)

N O N E ( N o reportable non-investment income.)DATE SOURCE AND TYPE

I.

2.

3.

4.

IV . REIM B URSEM ENTS -,r~po,t~on. ~od~n~.,~ood . ~n,er,~i .... ~(Tnclude$ tho,~e to spouse and d ependen t children; see pp. 25-27 of f!ting instmtctions.)

N O N E (N o rep o r ta b l e re imb u rsem en t s .)~ ~ ~O C A T I O N PURPOSE ITEMS PAID Og PRQVIDgD

I.2.3.

4.5.


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FINANCIAL DISCLOSURE REPORT I Name o[ Person R e p o r t i n g D a t e o f R e p o r tP a g e 3 o f 9[ A NDERSON, Ill , ROBERT L. 05 /04~ 010

V . G I F T S . a ~ c l u d e s t h o s e t o s p o u s e a n d d e p e n d e n t , M l d r e n ; ~ e e p p . 2 8 - 3 1 of filing instructionx.)~] NON~ (No reportable gifts.)

SOURCE DESCRIPTION ~I. Law Cler ks . l u d i c i a l A s s t a n d R e t ir e d J u d i c i a l A s s t o r g a n i z e d a l a w c l e r k r e u n i o n t o $ 2,000.00celebr ate2. m y t a k i n g s c n i o r s t a t u s (a n d 3 0 y r s . s c ~ ic e o n t h e c o u r t ) . A n o n y m o u scont r ibu t ions3. c r e a t e d a $ 2 0 0 0 g i f t p r e s e n t e d t o m e o n t h e 2 - 0 9 o c c a s i o n t o e n c o u r a g ea n A l a s k a n4. f i sh ing t r ip . S ee Cmpend ium S ect ion o , .8-8 ( 200 9) : Ins t r uct ions a t 30 .5.

V I . L I A B I L I T I E S . a~ a ~ d ~ t ~ o ~ , o z ~ r o ~ , ~ a e r ~ t c ~ u ~ o ~ ; ~ , e r ,. ~ - ~ of filing instructions.)[] NONE (No reportable liabilities.)CREDITOR DESCRIPTION

I.2.3,4.5.


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INamef P e r s o n R e p o r t in g D a l e o r R e p o r lDISCLOSURE REP ORTI ANDERSON, Il l , ROBERT L.

O~/04D-OIOPage 4 of 9

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

D e s c r i p t io n o f A s s e ts In come du rin g Gro ss v a lu e a t en d T = a s a c ti o n s d u r i n g t e ~ i n g p e r i ~[ i ~ ] u d i ng ~ s t a s s e ~ ) ~ p o ~ i n g p e r i o d o f r ~ o ~ i n g p e r i ~

, (I) (2 ) (I) T (2) (I) (2~ ,, t3) (4)Place " (X)" a ~ e r ~ c h a s s e t A m o u n t T y p e ~ e . g ., V a lu e { Value T y p e ( e . g ., D a t e V a l u e G a i n Ideeti ty ofe x e m p t f r o m p r i o r d i s c lo s u r e C ~ I ~ div.,rent, Code 2 f M e t h o d buy, se l l . m m.~ d ~ C ~ e 2 : C ~ e I buy~.sel ler(A-H) { o r i n t . ) ( J - P ) ] CM e 3 r e d e m p t i o n ) (LP) ( A - H ) 0 f p r i v a t e

I. S u n T ~ s t B a n k - c h e c k i n g a c c o u n t A In teres t J T

2. E u r o P a c i f i c G r o w t h F u n d ( I ~ ) A D i v i d e n d ~ K T

~. E u r o P a c i f ic G r o w t h ~ u n d ( I ~ ) A Divided K T

4. St u rg e s M fg . , U t i e ~ N Y (c o mmo n) A D i v i d e n d K W.-

5. Exxon (common) A Dividend K T6. Fideli~ Magellan Mull Fund A D i v i d e n d S o l d 511 I /~ L A

7. F id e l i ~ C a s h R c s e ~ ( m o n e y m u t u a l f u n d ) A D i v i d e n d R c d e m e d 4/9/09 J A

8. S u n T ~ s t B a n k ( c o m m o n ) A D i v i d e n d K T

9. M F S M a na g e d M u l t i -S t . T a x E xe mpt (GA ) B D i v i d e n d K Tm u t u a l f ~ d1 0 . M F S M a n a g e d M u . B & T ~ s t ( m u t u a l fu n d ) B D i v i d e n d L T

1 I. T I A A -U RE F (s e e V l l l ) C D i v i d e n d L T

1 2 . H o ~ e a n d l o t , B i b b C o u n t , G A A R en t M W

1 3 . S u n T ~ s t B a n k ( c o m m o n ) A D i v i d e n d J T

~ 4 ~ ~ s h a r es R u s s e l l 1 0 0 0 I n d ex A D i v i d e n d J T

1 5 . 1 s h ar es R u g g c~ l 2 0 0 0 Va l u e A D i v i d e n d K T

1 6 , I s h a r es R u s s e l l 2 0 0 0 I n d ex A D i i d c nd J T

1 7 . I s h a r es R u s s e l l 1 0 0 9 I n d ex A D i v i d e n d J T


5/9

FINANCIAL DISCLOSURE REPOR T ~ a m e o f P e r so n R e p o r t in g D a t e O f R e p o r tPage 5 of 9 ANDERSON, 11 1, ROBERT L. 05/04/2D10

V I I . I N V E S T M E N T S a n d T R U S T S - . . . . o , value, t . . . . . ct ions (Includes those of spouse and dependent children; see pp. 34-60 of f i l ing instructions.)----] NONE (No reportable income, assets, or transactions.)

A. B. C. D .D e s c r i p t io n o f A s s e t s Income dur ing Gross value at end 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(including trust assets) r e p o r t i n g p e r i o d o f r e p o r t i n g p ~ r i o d

P e a c e " ( X ) " a ~ e r e a c h a s s e t " A m o un t T y p e ( e . g ., V a lu e V a lu e T y p e ( e . g . , D a t e Value . Gain I d e n t i ty o fexempt from priordisclosure Code I d i v . , r e n t , Code 2 M e t h o d buy, sell, mmddlyy C o d e 2 C o d e | buyer /sel ler( A - H ) o r i n t . ) ( J - P ) Cede 3 r e d e m p t i o n ) ( J - P ) ( A - H ) . ( i f p r i v a t e: ( Q - W ) t r an~c t ion)

1 8 . I s h a r e s R u s s e l l 2 0 0 0 V a l u e A D i v i d e n d J T

1 9 . [ s ha re s Ru s s e l l 2000 I nd e x A D i v i d e n d J T

20 . I s h a r e s R ~ s e l l 1 0 0 0 I n d e x ( I RA ) A D i v i d e n d J T

21. I s ha re s Ru s s e l l 2000 V a l u e ( I RA ) A D i v i d e n d K T

22. I s ha re s Ru s s e l l 2000 I nd e x ( I RA ) A D i v i d e n d J T

~ 3 . I s h a r es R u s s e l l 1 0 0 0 I n d ex ( I R A ) A D i v i d e n d J T

~ 4, 1 s h a r e ~ R u s s e l12 0 0 0 ~ / a lu e ( ~ R A ) A D i v i d e n d K T

25 . 1 s h ar es R u s s e l l 2 0 0 0 I n d ex ( I R A ) A D i v i d e n d J T

i 2 6 . T h e P h o e n i x C o , A D i v l d c n d J T ~see par t VIII

27 . Th e P h o en i x C o . ( wh o l e l i f e ) A D i v i d e n d J T , S ee P ar t V l l l

28. G cn wo r t h L i f e I n s . C o ( wh o l e l i f e ) D D i v i d e n d M T

29. Su nT ra s t Ba nk CD B In teres t R e d e e m e d .7 /24/09 L A

3 0 . S u n T r u s tB a n k - m o n e y m a r k e t B In teres t K T

31 . RL A /Cha s Sc hw a b Cu s t - I RA ro l l o v c r See Par t VII 1

32 . S c h w a b V a l u e A d v a ~ t t a g c A In teres t S o l d 3 / 1 U 0 9 L A S ee p a r t V I I I

33 . S ee P ar t V I I !

34 . D F A U . S . L a r g e C a p V a l u e A D i v i d e n d K T


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FINANCIAL DISCLOSURE REPOR T NameofPerson Reporting Dale o[ ReportPage 6 of 9 A N a E ~ S O N , I l l , R O B E R T L . 0 5 / 0 4 1 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - i .c o . , e , , ,= l . e . r = . ., a c , io . ~ a . c l ~ d ~ s r l , o ~ o ~ " ~ o . ~ e o . d ~ r ~ " ~ " c h i l d r e n ; s e t p p . 3 4 - 6 0 o/filing l n s t r u ~ i o n s . )~ NONE income, asse ts , or transac t ions.)o reportable

.......... A. B. C. D .D e s c r i p t io n o f A s s e ts Income dur ing Gross va lue a t end T r a n s a c t io n s d u r i n g r e p o ~ t i n g p e r i o d

( i nc luding t~s~ asse t s ) r ep o ~ i n g p e r i ~ of reposingP l a c e " ( X ) " a R e r I n c h a s s e t A m o u n texen~pt from priordisclo~re . C~Ii d i v . , r e n L C ~ e 2 M e ,h o d ~ buy, se l l , m~td~ . C~e 2 C ~ I buyer /sel ler ( A - H ) [ orini . i 0-P) C~e3 r e d e m p t i o n ) ( I - P ) ( A - I t ) {i fpovateI ~ ( Q - W i Iransac i ionl

35 . V a n g u a r d G r o w ~ A D i v i d e n d K T

! 3 6 . D F A T w o Y e a r G l o ba l A D i v i d e n d K T B u y 7/27/09 K

37 . H a r b o r ~ o n d F u n d B D i v i d e n d K T S o l d 11!25/09 K A( p a n )38 . PimcoTolal R~mFund A D i v i d e n d J T

39. S c h w a b S & P 5 0 0 I n d e x F ~ d ( f o r m c r l y B D i v i d e n d L T S e c P a ~ V I IISc hw a b I ns t . ( [ SL CX ) )40 . V a n g u a r d G N M A F u n d A D i v i d e n d K T B u y 3/12/09 K

41 Se ~ P a ~ V I I I

42. S e e P a ~ V I II

43 . ~ S e e P a ~ V I II

~ 5 . S c h M u n i M o n e y F u n d A In teres t J T

46 . S e e P a n V I II

4 7. Fir st Cit y B an k (CD) A In teres t R e d e e m e d I /2/09 K S Park VIII

48 . F i rs t Ci ~ Ba nk (CD ) A In teres t R c d c c m c d I /2/09 J Se e P a rk V I I I

49. P cm co C o m m o d i t y R ea l Fu n d ( P C R DX ) A D i v i d e n d K T Bu y 11/25,09 K

5 0. V a n g u a r d B o n d i n d e x Fu n d ( B S V ) A D i v i d e n d K T l ]uy 7,;29/09 K

5 1. S c h w a b G NM A F u n d I SW G S X ) A D i v i d c ~ d J T B u y 1 1 1 2 9 , , 0 9 J


7/9

FINANCIAL DISCLOSURE REPORT S a , ~ e o f P e r s o , a e p o r , l .g O . t e o f a e p o r tP a g e 7 o f 9 ANDERSON, III, ROBERT L. 05/04/2010V I I . I N V E S T M E N T S a n d T R U S T S - ine ....... rue. transactions (Includes tho.ge of spou.~e and dependent children; see pp. 34.60 of f!linps

~ N O ~ E ~ o reportable income, assets, or tra~actions.)B. C. D.D e s c ~ p t i o n o f . ~ s ~ t s Income du~g G r o s s v a l u e a t ~ n d T r a n s a c ti o n ~ d u ~ n g r ~ p o r ~ i n g p ~ o d

f i n c l u d i n g t ~ s t ~ e t s ) rc~ing p~iod o f r e p o s i n g p e r i o d(~) [ (2) ~) (2) (I~ ( 2 ) ( 3 ) ( 4 ) ( 5 )

P l a c ~ " ( X } " a f t e r e a c h a s ~ t Amount ~ T~ (e.g., Valo Valu~ T ~ e ( , g . , Dal~ : Valu~ Gain I d e n ~ i l y

( A - H ) o r i n t . ) ( J - P ) C~e 3 r e d e m p t i o n ) : . ( J-P ) (A -H ) ( i f p r i v a t e( Q - W ) t r a n s ~ c ~ i o n )

~2. SPDR S&P [nl Small Cap F~nd (GWX) A D ~ v i d e n d K T Buy 5 / 2 0 / 0 9 K

53. Vanguard Emcrg{ng Mkt Fund (VWO) A D i v i d e n d K T Buy 5 / 2 0 i 0 9 K

5 4.5 5 .

63 .


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FINANCIAL DISCLOSURE REPORT NameofPerson Reporting DateofReportPage 8 of 9 I ANDERSON, 1II, R O B E R T L .

0 5 / 0 4 / 2 0 1 0

V III . ADDITIONAL INFORM ATION OR EXPLANATIONS.P a r t V . L a w C l e r k G i f t . t h e a u d i t s o f t w a r e t h o u g h t s o m e t h i n g w a s m i s s i n g ( p r o b a b ly b e c a u s e d e s c r i p t i o n e x t e n d e d i n t o l i n e s 2 - 4 ) , bu t n o t h i n g i s m i s s in g ; t h e r ew a s o n l y o n e g i f t.P a r t V I I , L i n e ~ 2 6 a n d 2 7 . P h o e n i x C o . A s e x p l a i n e d i n 2 0 0 8 R e p o r t , P h o e n i x w h o l e l i f e p o l i c i e s w e r e d i s p o s e d o f i n 2 0 0 8 i n a S e c . 1 0 3 5 n o n - t a x a bl e e x c h a n g e .H o w e v e r , m y w i f e a n d I h a v e a s y e t o m i t te d t o d i s p o s e o f t h e m i n i m a l c o m mo n s t o c k w e e a c h h a d w i t h r e s l ~ c t t o t h e t w o f o r m e r P h o e n i x p o l i c i e s . T h u s , I r e p o r tc o m mo n s t o c k n o w .Par t V I I , Line 31, i s s imply a he ad ing to d i sc lose tha t the f o l low ing i tems ( l ines 32-50) tha t desc r ibe ho ld in gs o r t r ansac t ions in the I RA du r ing 2009.P a r t V I I, L in e 3 2 , S c h w a b V a l u e A d v a n t a g e i s a c a s h e q u i v a l e n t a c c o u n t i n t o w h i c h m y I RA p a r k s c a s h u n t i l f u rt h e r i n v e s t m e n t .T h i s a c c o u n t w a s s o l d i n p a r t o n3/I 1 /09 and so ld /c lose d ou t on 7 /27/09.Par t VII . Lines 33 , 41-44 and 46 a re l e f t b lank so number ing of l ines 1 -48 wil l r emain co~is ten t wi th 2008 Repor t .P a r t V I I, L i n e 3 9 . Sc h w a b S & P 5 0 0 I n d e x F u n d ( S y m b o l SW P P X ) w a s t h e s u c c e s s o r i n a m e r g e r w i t h S c h w a b I n s t i tu t i o n a l ( S y m bo l I S LC X ) w h i c h w a s l i s t e d a tl ine 39 o f my 2008 Repor t .Par t V I I , Lines 47 an d 48. Fi r s t Ci ty Bank CDs . These tw o CDs wer e r ede emed on 1/2109.


9/9

FINANCIAL DISCLOSURE REPORT r~, of Person R ep o r t i n g Date of Repor tP a g e 9 o f 9 A NDE R SON, I l l , R OBE R T L . 0510412010IX. CERTIFICATION.

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

Signature~ ............. "

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 l L F U L LY F A L S I F I ES O R F A L L S T O F I L E T H I S R E P O RT M A Y B E S U B J E C T T O C I V I LA N D C R IMIN A L S A N C TIO N S ( 5 U .S .C . ap p . 1 0 4)

FILING INSTRUCTIONSM a i l s i g n e d o r i g in a l a n d 3 a d d i t i o n a l c o p i e s t o :

C o m m i t t e e o n F i n a n c i a l D i s c l o s u r eA d m i n i s t r a t i v e O f f ic e o f t h e U n i t e d S ta t e s C o u r t sS u i t e 2 - 3 0 1One Columbus Circle, N.E.W a s h i n g t o n , D .C . 20 5 4 4

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Robert L Anderson III Financial Disclosure Report for 2009