Thomas D Schroeder Financial Disclosure Report for 2009

8/3/2019 Thomas D Schroeder Financial Disclosure Report for 2009

1/9

FINANCIAL DISCLOSURE REPORT m Government Act o/19FOR CALENDAR YEAR 2009t . P e r s = m R e p o r t i n g ( la s t n a m e , f ir s t , m d d e n a ) 2 . C o u r t o r O r g a n i z a t io n 3 . D a t e o f R e p o r t

S c b r o e d e r . " I h o m a s D . Mid dle Dis lr ictot N C 05/13;2010

4. Title (Article Ill judges indicate active or se nior status; 5a. Repo rt T ype (check appro pria te q,pe} 6. Repo rtin g Period~ Nomination, D ar~ (ll i01 ,~ 2 009US DistrictJudge ~ tni,,a, ~ A ....... I ~ ~,,,al ,o1 2 3 I . 2 0 0 95b. ~ Amended Repmt

7. Chambers ur Office Address 8. On ~he basis of ~he information co ntained in (h is Repor t and anymodif ica t ions perta ining ~her l o i t is, in m ~ =qf i n i on , in romplian251 North Main Slreel, Suite 223A with applicable laws and regula l lons .tliram Ward Federal CourlhouscWmston-galcm, North Carolina 27101

I M P O R T . 4 N T N O T E S : The instructions uccompanying this yorm must be fbllowe~ Complete all parts,checking the NO NE box [br each part where you have no reportable b~[~rmation. Sign on la.~t page.

~- NONE ( .~b reportahlepositions,)POSHION N A M E O F O R G A N I ZA T I O N /E N T I T Y

I.

1 1 . A G R E E M E N T S . (Reporting. indi,,tdual only; ~ee pp. 14-16 ,iling i ....... i,,,,.)~ NONE ()Voreportable agreements.)

D A T E PARTIES AND TERMSI I /1 2 0 0 6 AI AS Insurance Contract wilh Womble Carlyle Sandridge & Ricc. PLI.(; no control

2 4. 1,19~4 Firm Operating Agmt, W omble Carlyle. Operating Reserve ba]ance payable up lo 5 years Ibllowing my departt~rcI/8i201)8~ other accoun~ paid u p o n depa~ure

~ 1 , 1 1 8 , " 2 1 ) 08 Womblc Carlyle letter ag~ccrncnt with me, resolving fi rms obl igat ions, includi t~g those m i lcrns I amt 2 0bore


2/9

FINANCIAl., DISCLOSURE REPO RT s .... fP ..... R e p o r t i n g D a l e o [ R e p o r tPage 2 of 9 Shroe der , Thomas D. 0 5 : 1 3 ~ 2 0 1 0

11 !. N O N - I N V E S T M E N T IN C O M E . fR,p,rtit,g indi,.idual andsp ..... ; seepp. 1 7-2 4 4filing instructions.)A. Fliers Non-investmenl Income

NONE (No reportable non-investment income.)DATE SOURCE AND TYPE INCOME[yours, nol spouses )

I.I.,2q.:2009 W omble Carlyle Sandridge & Rice. PI .I .C; return of ALA S insurance SI8.209.59reserve ~.rld porl!tm of Operating Reserve Icapita] account)2.

3.

B...Spouses Nonohwestlnellt ! ncome - II .,u were marricd during any t, orti,,t~ ~I the reporting ~ear oomphre thi., section.

~ N O N E OVo r~Tortable non-investment income.)DATE SOURCE AND TYPE

I . 2 [ ) 0 9 Piedmnnt l.and Conservancy, salary

3

4

I V . R E I M B U R S E M E N T S -.,,o,,.,e ..... i , , n I , ; ( e i t , g . [ o , , d . . . . . . .rtai ........

[~ N ON E rcT;ortahle reit~ll~ttt~yentent.~.NoSOURCE DATES LOCATION PURPOSE ITEMS PAID OR IROVll)EI)

2 .3.4.5


3/9

FINANCIAL DISCLOSURE REPORT ~ .......rper~on Reporl ingPage 3 of 9 s ~ o ~ a e ~ , l h o m a s D . 05/!3~2010

~ N ON E ( N o reportable g~s.)

~ DESCRIPTION

3.4.5.

1~ N O N E (No reportable liabilities.)CREDITOR DESCRIPTION VALUE CODE

I "-[education lns~itulion luition aml h~m smg balance for 2009-10 school year .I2 ~[cducat i~n Institution tuition and housing balance for 2009-1 0 .,chool year J34.

5.


4/9

FINANCIAL DISCLOSURE REPORT ~ ......P~rson Rep or t i ng Dal e o f Re por tP}Igc 4 Of 9 Schroetler, Thomas D. 05132010

V I I . I N V E S T M E N T S a n d T R U S T S - ~.,. ......... t ............ ,.,,....,.t..., ,~o.,.,~r,. ....... ~ ~.p.,,a~., ,.,i~.~.:.,~ .~,..;~-~o,,//~.~ ~.,,...N O N E (No reportable income, assets, or transaction.~.)

A. B. C. D.Description ~[ Assets income during Gross ~ak~e at end I ransape (e~ , I)a~ Valu~ Gain [den lHy ofexempl horn prior d~sclosure Code.I d~ . r en t . (ode 2 ~ Ntcthad bu~. sell. 0nmddyy Code 2 C c ~ d e I bu)er/seller(A-H) o ~ ~ n ~ ~ ~ JP) ~ Code 3 r e d e m pm ) n ) {J-P) (A-It) ( i fp~ i~a~e

I Wachovia Accounts D [nlercs l M ~

2 BB&T Account A lnleres l J 7

3 US Treasur) Series EE Bonds N o n e J T

4. First Tennessee Acctmnts C lilt eSt N T

5 Arbor ~ Accoun~

6 -~Shares Russell IO00 Index B D ividend L

7 -iShares Russell 2000 Index A D ividend J T

8. -iShares MSCI EAFE Index A Div id e n d J T

9 -Vanguard Intem~-Term Tax Exempt Adm A D ividend B u y ~ 02 ,02 ,09 M

1 0 S old 03/I 1 ; 09 N I AII -Vanguard Imem~-l~erm Invsmml-Grd Adm A l ) i~Mcnd B uy [)~ ,.0 M

12 Sold : 03.,I L,l)9 M A

t3 PIMCO "]t~ta] Retuin fund lnstI B l)ixidcnd [/uy 0 2 ; 0 2 0 9 M

1 4 . Sold 0 3 z I I ; 0 9 kl A

15 V~tl~u:lrd Ltd-Tenn Tax Exempt Adm C D ividend M l

16 -V~r~guard Short-]cn~a Tax Ex e m pt A l)ividcnd K 1

17 -Fidchty Tax Frcc Money Market A D ividend J T


5/9

I ~ a m e o f P e r s o n R e p o r t i n g [ D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORT S c h r o e ~ e , , T h o ~ . a sV I 1. I NV ESTM ENTS and TRUSTS --i,,,. ........., , e . , . . . . . . . . , i o , . a , c t , d e . , t ~ , . . . . ..,y.,p .......a a e p e n a , . , , M i d ....... p p . 3 4 - 6 0 of filing i n ~ t r u c t i o n ~ . )~-~ (No reportable income assets, or transactions.)ON E

A B C DDesertptlot1 of Assels I i l~ o m e d u r i n g G r o s s v a l u e , a t e n d T r a n s a c l i o n - ~ d u r r n g r c p o l l lr ~ g p e r i o d

( i n c l u d i n g t ~ u s t a s s e l s ) r e p o r h n g p e r i o d o f r e p o r ti n g p e r i o dP l a c e " ( X ) " a f l e t e a c h a s s e t A m o u n t lype (e.g. Value I V a l ue T~pee x e m p t [ r o n l p r i o r d i s c l o s u re (ode I d i ~ . , . r e n t , C o d e 2 ; ~ , , l e f l ~ o d buv, sell. m m , d d y,~ , C(~(Ic 2 (ode I huycrsellel( A - H ) o r i n t ) O - P ) i C o d e 3 r e d e m p l i o n ) I I - P ~ I A - H ~ (ifplivatc

1 8 -Fidelity Instl: la Exem pt Pon[o[io CI I B Dividend O1 9. Arbo~ ~ Account2 0 -iShares Russell 1000 Index A Dividend L2 1 -P0~,erShares T| :TSE RA|:I IJS 10 00 A Dividend K T2 2 -iShares Russell 200{) Index A Dividend J23 -iShares MSCI EAF~ Index A Dividend K24 -iShares MSCI Emerging Marke~s Index A Dividend l T2 5 -PIMCO All Asset Fund Instl [3 Dividend K T2 6 . -Vanguard Inflation-Protected Set:. A Dividend K T2 7 Vanguard Shrift-Term In~stran! -Grd B Dividend K28 -F, alon Vance Floatiug Rate Ad~. B Di,,idend L T29 -|:idehty Tax Frcc Money Matkct A Di,..idend J T30 I R A

31 -iShares Russell 1000 Index A Di, . idend K I3 2 . -PowerShares FTSE RAFI US IO00 A Dividend J T33 -iShares Russell 2000 Index A Dividend34 -iShares MSCI EAFE Index A Di . i dend J T


6/9

FINANCIAL DISCLOSURE REPOR T s .... fP ..... R e p o r t i n g DateofReportPage 6 of 9 Schro ed e r , Tho mas D. 05 ,t 1 3 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.,. ....... ,.~.e,, ...... .,io., (Indu des t! ..... flp ...... ddependentchildren;seepp 34-60o[filingin,,trutions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. DD 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 T r a n s a c t i o n s d u r i n g r e p o r u n g p e r i o d

( i n c l u d i n g I r u s t a s s e t s ) r e p o r t i n g p e 6 o d o f r e p o r t i n g p e r i o dP l a c e " ( X ) " a f t e r e a c h a s s e l A m o u n l ~ y p e ( e . g . V a l u e ] V a l ue ] y p e ( e . g . D a t e Value G a i n I d e m i t y o f

e x e m p t f r o m p r i o r d i s c lo s u r e C o d e I d o , , , ~ e n t . C o d e 2 I M e th o d buy. sell, m m d d y y C , a d c 2 C o d e I b u y e r . , , e l l e ~(A-H) or ~nt) (J-P) [ C o d e 3 r e d e m p u o n ) (J-PI (.,".-|1)

3 5 . -iShares MSCI Emerging Markets htdex A Dis idend J T36 -Vangu ard Inflation-Protected Sec. A Dividend K T

3 7 . -Vanguard Shorl-Tem~ lnvstmnt-Grd A Dividend J T3 8 . -Eaton Vance Floating Rate Adv. A l )ividend J T3 9 . IRA

~ 0 -iShares Russell 1000 Index C Dividend M T4 1 . -PowerShares VFSE RAFI US I000 B Dividend L T~ 1 2 -ighares MSCI EAFE Index B Dividend L T4 3 . -iShares MSCI Emerging Markets Index A Dis idend K T

4 4 . -Vanguard Inflation-Protected Sec. Adm B Dividend M4 5 . -PIMCO Total Return Fund lnstl D Dividend M T46 -Eaton V ance Floating Rate Adv C Dividend M T47 -I-~dclity Cash Reserves A Dividend J T4~ Mass Mutual Whole L ife Insurance B Dividend L 14 9 . Mass Mutual ~ hole Life Insuraocc A Dividend K f50 Loyal American lnsurancc A Dividend J U51 Wit~ston-Salem Foundation D onor Advised None J TF~nd


7/9

FINANGIAL DISCLOSURE REPORT r~ .... fPe r s on Re por t i ng Da,e o fR~ por tPage 7 of 9 Schroeder, Thomas D. 05/132OI0V I I . ! N V E S T M E N T S a n d T R U S T S - i .........., , . . , . . . . . . . . , i o , ~ ( I n c l u d e a tl ...... [ sp .......d dependent children: see p p . 3 4 - 6 0 o[ liling i .......

~ (No reportcH)le it?come, oss~ts, orON EA B D.

Descrlpt~on of Assets Income during Gross value at end Transac~ m ns gurm g reporting ~ eriod(including lms~ assetsl reposing period of reporting period

Place "(X)" after eacl~ asset Ati~oul~ t Ty ~ ( e .g , V alue V alue [ype (e.g. Dale Value ( i a ~ r ~ Identil> olIA-H) ~ t~r mr.) (J-P~ Code 3 rudempti tm) tJ-P) ~A-H)

52. Vanguard 529

53 -Vat, guard h~ terest Accumulation Portlolio 1 3 Interest I_.54. Vi~ngua~d 529


8/9

FINANGIAL DISCLOSURE REPORT ~ . . . . o ~ ..... R ~ p , ,r , i . ~ O a , ~ o r a . V o r tPage 8 of 9 S:hroeder,lhomas I). 0 5 . 1 3 1 2 0 1 0

V I I!. ADDITIONAL INFORM ATION OR EX PLANATIONS. tl,,,~ic~,~ p.~, o l R , , ~ , , , , , . ~

Part Ill(A). Of this amount, $1.40 4.81 is gross interest income; remaining am ount is return of capital account (Operating Reserve and insurance.) net of taxes.i~surance, and other expenses (the tax payments were reported on my return for the tax year ending D ecen~ber 3 I, 20 08). "1 his payment resolves all obligal~ons tomc as ~ o ilerns I, 2 and 3 listed in section IIParl VII l)easury Series EE bonds value based o~ value reported ~ n the g~venm ~ent ,,,.ebsite (http/~.,,w~ s publicdebt.treas gov/BC!SB CPrice) as of D ecember21J09. Last years AO- 10 ([br calendar year 200 8) listed in line 26 an account ,.~.ith the Fidclit3. Instin.~tional 7 ax Exempt Porttblio (;lass I. and my subsequent letterof July 24. 20 09 , to the Co~nm ittee erroneously lislcd this as a "buy" on I;24qJ8. whcn il shotdd have been listed as a "sell" ; acc.rdingly, this acconnt was nnt heldm 2009 By way of clarification, last years AO-10 (fbr calendar year 2008) listed a Keogh account 0iues 49-561 and a Custodial account (lines 57-59) thatsold/transferred in calendar year 200 8, as noted in !ast years AO- I 0 and July 24. 2009 letter to the Comm ittee"lhc Winston-Salem Foundation Donor Advised Fund reflects money .,e donated irrevocably to. and is or*ned by. tbc Fou~dalion, but I and " - 1 c a n d i r c c ~donations liOnl thal Fun(] to charities of our choice. We can receive no income from its in,.est~7:ent: rather, the t~lmd receives t;lC


9/9

FINANCIAL DISCLOSURE REPOR T r~ ....... fP ..... R e p o r t i n g Dal~o[Repor!Page 9 of 9 Schroeder , Thomas D. 05;I 3~2010

IX . CERTIFICATION.I cert i fy that al l information given above (including inform ation pertaining to my spouse an d minor o r dependent chi ldren, i f any) isaccurate, t rue, and complete to the best of my knowledg e and bel ief, and thal any information not reported was ~ i thhel(I becan~ e i l met appl icable slatutnr)

prnvisions permit t ing non-disclosure.I further certify that earned incom e from outside em ployment and hon oraria and the acceptance of gifts v, hich ha~e been reported are iucnmplianee ~ l th the provisions of 5 U.S .C. app. 501 el . seq.. 5 U.S.C. 7353, and Judicial Conference regulat ions.

N OI E : A N Y I N D I V I D I ! A L \V t t O K N OWI N GLV A N D W I LF L! LLY F A I ,S I F IE S OR F A I LS T O F I I ,E T HI S R E P OR I M A Y B E S UB J E C I T O C I V I l,AND CRIMINAl , SAN CTIONS (5 U .S.C. app . 104)

FILING INSTRUCTIONSMail signed original and 3 addit ional copies 1o :

Committee on Financial D isclosureAdministrative Officc of the United States CourtsSuite 2-301 ]One Columbus Circle, N. E .Washington. D.C. 20544

Documents

Thomas D Schroeder Financial Disclosure Report for 2009