Thomas W Phillips Financial Disclosure Report for 2009

8/3/2019 Thomas W Phillips Financial Disclosure Report for 2009

1/9

, 4 o ~ 0 FINANCIAL DISCLOSURE REPORT a e p o r t R e q u i r e d b y I h e E t h ic sin Government Act of !978R e ~ . 1 / 2 0 ~ o FO R C A L E N D A R Y E A R 2 0 09I. Person Reporting (lasl nam e. first, middle initial) 2. Court or Organization 3. Date of ReportPhillips, Thomas W. Eastern District of Tennessee 05101/2010

4. Title (Article Ill judges indicate aclivc or senior status: 5a. Report Type (check appropriate type) 6. Reportiog Periodmagistralc judges indicate fidl- or part-time)---] Nomination, Dale 01,:01/2009

U.S. Dislrict Judge Active [] Initial [] Amtual [] Final to12/3 [ ,"2009$b. [] Amended Report

7. Chamber s o r O f f ice A dd res s 8. On the basis of the iuformation contained in lhis Report and anymodif icatlous per tain ing thereto , it is , in m y opinion, in rom p| lanceg_00 Market Street with applicable la~s and regulations .Suite !45Ka~oxvifle, TN 37902 Rev iewing Officer [)ate

I M P O R T A N T N O T E S : The instructions accompanying this form must be fidlowed. Complete all parts,checkit~g the NONE box for each part where you have no reportable i~brmation. Sign on last page.

1 . P O S I T I O N S . r ~ q , o r~ t ,, ~ 0 individual on(r; see pp. 9-13 of filing instructions.)N O N E OVo reportable positions.)

POSITION NAM E OF ORGAN [ZATION/ENTITYI.

N O N E (No rcT)ortabte agreements.) ~ ~, . .......DA T E P A R T I E ~ A N D T E R M S ~.,.


2/9

FINANCIAL DISCLOSURE REPORT ,~ ...... P ..... Reporli,,g]

Dale of Repori"Page 2 of 9 Phillips, Thomas W. 0 5 , , 1 , , 2 0 1 0

I ll . N O N - I N V E S T M E N T I N C O M E . m~por,i.g individua! andsp .... ; seepp. 17-24 off!ling instructions.)A. Fliers Non-lnvestment Income

N O N E (No reportable non-investment income.)DATE SO! ~RCE AND TYPE (yours, not spouses)

I.2.3.4.

B. Spou se s N o n - I n v e st m e n t I n c o m e - l/~,,,u .,e~e married during any porKon of the reporting year, complete Ihis sec t ion.(I),;lAtr amount not required e.rcept for honoraria.)

--] N O N E (No reportable non-investment income.)D ATE S O U R CE AN D TY PE

I. 2009 ONEIDA INDEPENDENT SCHOOl, SYSTEM (R.ETIR ED TEACHER) 0.00

2.3.4.

(h "l d.~ th s~ ; sp ~ ~se and depe~ de t ch tdren, see pp 25-2 ? ~[~f!ling in~tructions )

N O N E (No reportable reimbursements.)SOURC~ D A T E S LOCATION PURPOSE ITEMS PA~D O R PR O VID ED

2.3.4.5.


3/9

F IN A N C I A L D I S C L O S U R E R E P O R T N ..... Pe rs o n R e p o rting D ate o f R e p o rtPage 3 of 9 Phillips, Thomas \V. 05/01/2010

V . G I F T S . ~ 1 . c ., d . s t h o s e , o s p o . , , , ,. d d . ~ , e , , d e , ,, c h i l d r e . ; s e e p . . 2 S - 3 ~ , , I . l l . g instructlon~Q[--~ N O N E (No reportable gifts..)

SOLrRCE DESCRIPTION VALUE1. ATTEND ANNUAL REVIEW TENNESSEE LAW INSTITUTE $400.0SEMINAR W/O CHARGE2.

3.4.

5.

V I. LIAB ILITIES. t~,,c~,,de~,h,,~ o/,p ...... d a ~ p ~ , d ~ , , , children; x e e p p . 3 2 - 3 3 of filing instructions.)~ (No reportable liabilities.)O N E

C R EDITO R DESC RIPTIO N VALUE CODEI.

2.

3.

4.

5.


4/9

FINANCIAL D I S C L O S U R E R E P O R T N .. . . . . . f P .. . . . . R e p o r t i n g D a t e o f R e p o r t [Iage 4 of 9 Phill ips , Thomas \V . ( ) $ ! 0 1 i 2 0 1 0VII. INVESTMENTS and TRUSTS -, . . . . . . . . . . t,,,, l r a n s a c t l o t l s (Includes those of sp ...... d dependt, tit children: see pp, 3 4 - 6 0 of f!l ln.g instructions.)~ NONE (No reportable income, assets, or trat~sactions.)

............................ ~, ...... [ .....~ ..................~ ................................. ~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 G r o s s v a l u e a t e n d T ~ a n s a c ti 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 n c l u d i a g t r u s t a s s e l s ) ~ r e p o f i in ~ p e r i o d of rcporling ~riodP l a c c " ( X ) " a f t e r c a c h a s s e t A m o o n t ~ T y p e ( e . g . , :. Value ~ Value ~ T y p e ( e . g . , Dale ~ Valu~ G a i n I d ~ n t i~ y o f

e x c m p l f i o m p r i o r d i s c lo s u r e ~ C o d e ! d v . r e n t , U o d c 2 M c t h ~ ] ~ b u y , s e l l , ~n/d~yy I Code 2 C o d e I b u y e r & o i l e r(A-H) ~ o r i n t . ) ( J - P ) ~ C o d e 3 : r c d e m p t ) o n ) [ O - P ) ( A - H ) ( i f p r i v a l c: [ ......... ~ . . . . . . . . . . . . . . . . . . . . . ~ ............. t ) a n s a c ~ i o n ) ,(q-w) r .................................I. CD-IST NATL BANK, ONEIDA , ~ A Interest 3 T Redeemed 0 I/16/09 J A[paa)2. CD-IST NATL BANK, ONEIDA, "~ B I n t e r e s t K T Redeemed 04/20/09 K B(paa)3. A MERIP RtSE B RO C K E~G E A C C O ~T A Interest J T

(CASH EQUIVALENT)4. CBRL GROUP, INC. A Dividend 2 T5. AMEX TRUST CO. - IRA D lnt.!Div. N T6. --FIDELITY ADVISOR STRATEGIC B Dividend Sold 11/04/09 MINCOME T7. --RIVERSOURCE MID CAP VALUE A B Dividend Sold 1 1 1 0 4 1 0 9 K A8. --FIDELITY ADVISOR NEW INSIGHTS "1- A Dividend Sold 11/04/09 K A9. --RIVERSOURCE INTL SELECT VALUE A Dividend Sold I 1 / 0 4 / 0 9 J AAt0. --AMERICAN CENTURY EQUITY B Dividend Sold 11/04/09 K BINCOME AI I . --AMERICAN CENTURY B Dividend Sold 11/04/09 K ALONG-SHORTEQUITY A1 2 . --RIVERSOURCE DIVERSiEIED EQUITY A Dividend Sold I 1 / 0 4 / 0 9 J1 N C A1 3. --LOOMIS STRAI INCOME A Dividend Sold 1 I . i 0 4 . 0 9 J1 4 . --AMERIFRISE INS MONEY MARKET A I n l e r e s ~ J T

1 5 . --OAKNtARK EQ & INCOME - I B Dividend K T t 3 u y 1 1 / 0 4 ! 1 3 9 KOAKMARK FUNDS1 6 . - -1SHARES BARCLAYS A GGREGATE B Dividend L T B uy I 1 / 0 4 7 0 9 LBD FUND1 7 . --ISttARES MSCt EM ERGING A l)ividend J T 1 3 u y l I1 0 4 1 0 9 JMARKETS INDEX


5/9

N 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 t IP a g e F I N A N C I A L 5 o f 9 D I S C L O S U R E R E P O R T P h i l l ip s , I h o m a s % % . 0 5 / 0 1 / 2 0 1 0

~ N ONE (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 ~ Grosg value at end : Transactions during reporting period .....(including trust as~ts) .. reposing period o f r e p o r t i n g p e r i o d

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 i T y p e ( e. g . , Value Value ~ T v p e ( e . g . , D a t e Value [ Gain I d e n t i t y o f

( Q - W ) [ t r a n s a c t i o n )I 8 . --IStIARES S&P 500 GROWTH INDEX B Dividend K T B uy t I /0 & " 0 9 KFUNDS1 9 . --ISHARES MSCI EAFE INDEX FUND A Dividend K T B uy 11/04/09 K2 0 . --ISItARES RUSSELL 1000 VAI.UE B Dividend K T B uy 11/04/09 K

INDEX FUND2 1 . --ISttARES IBOXX H IG[I YIELD B Dividend K T B uy 1 1 1 0 4 1 0 9 KCORPO~TE BOND FUND2 2 . --ISIIARES LEHMA N 1-3 YEAR CREDIT A Dividend K T B uy 1 1 ! 0 4 / 0 9 KBOND2 3 . --ISItARES LEItMAN 3-7 YEAR A Dividend K T B uy 11/04/09 KTREASURY BOND FUND

2 4 . --SPDR DJ WILSI[IRE MID CAP VALUE A Dividend K T B uy 1 t / 0 4 / 0 9 KETF2 5 . - -VANGUA~ MID-CAP GROW TH B Dividend K T B ny I 1 / 0 4 / 0 9 KINDEX FUND2 6 , AMEX - TRUST CO, IRA C I n t , i D [ v . N T2 7 . --AMERICAN CENTURY EQUITY A Dividend Sold I 1 / 0 4 / 0 9 K AINCOME A2 8 . --FIDELIFY ADVISOR NEW INSIGIITS T A Dividend Sold 11/04/09 K A2 9 . --AMERICAN CENTURY LONG-SHORT A Dividend Sold 11/04/09 J AEQUITY A3 i ) . --R1VI~RSOURCE INTL SELECT VAULE A Dividend Sold 1 1 / 0 4 , ( 1 9 J AA3t, --FIDELITY ADVISOR STRATEGIC A Dividend Snld 11i04/09 KINCOME T3 2 . --RIVERSOURCE INTL SELECT VALUE A Dividend Sold I ! / 0 4 / 0 9 K AA

3 3 . --RAINIER SMALLMID CAP EQUITY A Dividend Sold 11/04/09 K3 4 . --RIVERSOIJRCE D VERSIFIED EQUITYI A Dividend Sold 11/04/09 K1 N C A


6/9

F IN A N C I A L D I S C L O S U R E R E P O R T N .... f Person Reporting Da te o f Rep or tPage 6 of 9 Phillips, Thom as W. 0 5 / 0 1 / 2 0 1 0VII. INVESTMENTS an d TRUSTS -- i .... e , value, ! .......l ions" (Include s those of sp . . .. . . d d ependent chi ldren; see pp. 34-60 of f i l ing ins truct ions.}~] N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income during Gross value at end Tra0.sactions during reporting period

(including toast assets) reporting period of reporting periodPlace"(X)"aa .. ...h .... A ......t Type(c.g., Value Value Type(e.g . , ,[ Date,[Value,I Gain [ Idenli tyof.... pt from prior discl ...... [ Code I [ div., rent, Code 2 Method buy, sell, / m m / d ~ y y ] Code 2 [ Code I [ buyer/seller

transaction)

35 . --SELECTED AMERICAN SHA~S S A Dividend Sold I 1/04/09 J A

36 . --RAINIER SMALL/MID CAP EQUITY A Dividend Sold 11/04/09 J37. --FIDELITY ADVISOR DIVERSIFIED A Dividend Sold 11/04/09 K AINTL T3 8 . --FIDELITY ADVISOR NEW INS1GH TSI A Dividend Sold 11/04/09 J A39. --AMER1PRISE INS MONEY MARKET A Interest J T40. - - ISHA RES B ARCLAYS AGGREGATE B Dividend K T B uy 11/04/09 KBD FUND41. - - ISHARES MSCI EMERGING A Dividend J T B uy I 1 / 0 4 / 0 9 KMARKETS INDEX42. --ISHA RES S&P 500 GROWTH INDEX A Dividend J T B uy 11/04/09 JFUND4 3 . --ISIIARES MSCI EAFE INDEX FUND A Dividend J T B uy 11/04/09 J

44. --ISI lARES RUSSELL 1000 VALUE A Dividend J T B uy 1 I , / 0 4 / 0 9 J4 5, --ISIIARES IBOXX HIGH YIELD A Dividend J T B uy 11/04/09 J46 . --ISI:tARES LEHMAN 1-3 YEAR CREDIT A Dividend J T B uy 11/04/09 JBOND FUND47 . --ISHARES LEHMAN 3-7 YEAR A Diviclend J T B uy 11/04/09 JTREASURY BOND FUND48 . --SPDR DJ W1LSHIRE MID CAP VALUE A Dividend J T B uy 11/04/09 JETF49 . --VANGUARD MID-CAP GROWTH A Dividend J T B uy 11/04/09 JINDEX FUND50 . FIDELITY ADVIS(~~STRATEGIC A Dividend J TINCOME T51 . FBR PEGASUS INV A Dividend Sold I 1/04/09 K A

I. Income Gain Codes: A =SI,O00 or less B =5~.001 - $2.500 C = 52.501 - 55.000 D -$5,001 - 515,000 E :$15.DOI - $50,000(Scc Colum ns B I and D4) t: =550,001 - $ I0~,000 G =$100,001 - $1.000,000 l iJ ~SI.0O0,O0l - $5.000.000 H2 =More lhan gS.0D0.0002. V aiue C~es J =$15.000 or less K =S 15,001 - $5(I.009 k -55(J.001 - 5100.O00 M =5100.001 - 5250.000(5 Columns CI and 1)3) N =$250.001 - $500.000 O =$500,001 - 51.000.000 PI -$1.000.001 - $5,000,000 P2 =$5.000.00t - 525,000.000P3 ~$25.000,001 - $50,000,000 P4 =More than $50.~O0,0003. Value Method Codes Q =Appraisal R =Cosl (Re,d Esuuc Only) S =Assessment T -Cash Market(See Column C2) L I ~Book Value V =Olhcr W =Estimalcd


7/9

N 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 tF I N A N C I A L D IS C L OS UR E R E POR T] Phil lips , Thomas W .age 7 of 9 0 s ~ 0 1 ! ~ _ 0 1 0

VII. INVESTM ENTS and TRUSTS -- ~ ........ lue, t ....... t lo n s ( I n c l u d e s t h o s e ,~]sp ........ 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 0 o f f ! l i t l g i n s t r u c l i o n s . )D N O N E ( N o repor table inc ome, a ssets , or t ran sact ions. )

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 t , a l u c a l 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 l( 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 i ~ r i o d o f r c p o r t i l : g p e r i o d

P l a c e " ( X ) " a f t e r e a c h a s s e l ! A m o t m ! T y p e ( e . g . . Value Value T y p e ( e . g . , : Date :: Value G a i n I d c n t i l y o fe x e m p t f r o m p r i o r d i s c k ls u r c C o d e I d i v . , r e n t , : C o d e 2 M e t h o d b uy , s e ll , i m m ; d dv v v i C o d e 2 C o d e 1 b u y e r ! s c [ l c i( A - H ) o r i n l . ] ( J - P ) C o d e 3 r e d e m p t i o n ) [ ( . l- P ) , ( A - H ) ( i t p ~( Q - " , . ) i I r a n s a c t i o n l

5 2 . RVS STRAT INC AI.LOC - A B Dividend L T 1 3 u y I 1 . , 0 4 / 0 9 kRIVERSOURCE MUTUAL FUNDS5 3 . tSHARES B ARCLAYS AGGREGATE t3D B Dividend K T B uy ! 1 / 0 4 / 0 9 KFUND5 4 . ISIIARES IvISCI EMERGING MARKETS A Dividend J T B uy I 1 / 0 4 / 0 9INDEX5 5 . ISHARES S&P 500 GROWTfl INDEX A Dividend K T B uy i 1 , , I ) 4 / 0 9 KFUND5 6 . ISHA RES MSCI EAFE INDEX FUND A Dividend J T B uy 1 1 , ; 0 4 / 0 9 J5 7 . tSHA RES RUSSELL 1000 VALUE A Dividend K T B uy 1 1 ; 0 4 /0 9 1 K5 8 , ISItAILES 1BOXX I IIGt[ YIELD A Dividend J T B uy 11/04/09! JCORPORATE BOND FUND59 ISHA RES LEHMAN t-3 YEAR CREDIT A Dividend J T B uy 1 1 / 0 4 / 0 9 i JBOND FUND6 0 . ISHA RES LEHM AN 3-7 YEAR A Dividend J T B uy 11/04/09 JTREASURY BOND FUND6 1 . SPDR DJ WILSH IRE ,viii) CAP VALUE A Dividend J T B uy I 1 / 0 4 / 0 9 JE T F6 2 . VANGUARD MID-CAP GROWT! I A Dividend d T B uy I 1 ! 0 4 / 0 9 .1INDEX FUND


8/9

FINANCIAL DISCLOSURE REPORT N .... f P .....Reporting Date of ReportPage 8 of 9 Phillips, Thomas W. 0 5 / 0 I / 2 0 1 0V I II . A D D I T IO N A L IN F O R M A T I O N OR E X P L A N A T I O N S .

Did not teach in 2009.


9/9

FINANCIAL .DISCLOSURE REPORT ~ ..... f P ..... Reporting D a , e o f R e p o r t llage 9 of 9 Phill ps, I ~omas \V. 05/01/2010IX. CERTIFICATION.

1 certify that all inlormation given above (including information pertaining to m y spouse and minor or dependent children, if any) isaccurate, true, and complete to the best of my knowledge and belief, and that any informalion not reported was withheld because it met applicable statutoryprovisions permitting non-disclnsure.I further certify that earned income from outside employmeut and honoraria and the acceptance of gifts which have been reported are incomp liance -.vlth the provisions of 5 U.S.C. app. 501 el. seq., 5 U.S.C. 7353, and 3ndiclal Conference regulations.

NOTE: ANY INDIVIDUAL W IIO KNOW INGLY AND W ILFULLY FALSIFIES OR FAILS TO FILE TH IS REPORT MAY B E SUBJECT TO CIVILAND CRIMINA L SANCTIONS (5 U.S.C. app, 104)

FILING INSTRUCTIONSMail signed original and 3 additional copies

Committee on Financial DisclosureAdministrative Office of the United Stales CoarlsSuile 2-30 IOne Columbus Circle, N.E.W ashing lon , D.C. 21 )544

Documents

Thomas W Phillips Financial Disclosure Report for 2009