Charles L Smith Jr Financial Disclosure Report for 2010

8/3/2019 Charles L Smith Jr Financial Disclosure Report for 2010

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I AO 10Rev. 1/2011 FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010 Report Required by the Ethicsin Go vernm en t Act of 1978(5 U .S.C. app. ,~ ,~ 101-111)I . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r s t, m i d d l e i n i t i a l )Smith, Jr . , Charles L.

4. Title (Article Ill j u d g e ~ i n d i c a t e a c t i v e o r s e n i o r s t a t u s ;magistrate judg es indicate full- or p art-t ime)U.S. Distr ict Judge - Active

7 . C h a m b e r ~ or O f f i c e A d d r e s sUni ted Sta tes Cour thouseI01 Holmes AvenueHun tsville, Ala. 35801

2 . C o u r t o r O r g a n i z a t io nNor the rn Dis t r ic t o f Alabama

3 . D a t e o f R e p o r t05/25/2011

5a. Report T)]3e (check appropriate type)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Repon8. O n t h e b a s i s o f t h e in f o r m a t i o n c o n t a i n e d i n t h i s R e p o r t a n d a n ym o d i f i c a t i o n s p e r t a i n i n g t h e r e t o , i t i s , i n m y o p i n i o n , i n c o m p l i a n c ew i t h a p p l i c a b l e l a w s a n d r e g u l a t io n s .

6 . R e p o r t i n g P e r i o d01/01/2010

to12/31/2010

R e v i e w i n g O f f i c er D a t e

I M P O R T A N T N O T E S : The instructions accompanying this form must be followet~ Complete ali parts,check ing the NO NE box for each par t where you have n o repor table in forma t ion . S ign on las t pag&

I . P 0 S I T I 0 N S . e e o v o r~ n g i n d i v i d u a l only; see p p . 9 - 1 3 of fillng instructlon&)[~] N O N E (No reportable positions.)

POSITION

2.

3.

4.5.

N A M E O F O R G A N I Z A T IO N / E N T IT Y

I I . A G R E E M E N T S . m e v o r ~ . g i ndiv idua l on ly; s ee pp . 14 -16 o f f i l i ng i ns t r uc t ions . )~-] (No re por t ab l e ag re e me nt s . )ONE

1.19812 . 1981

3.

DATE PARTIES AND TERMSJ u d ic ial R e t i r em en t F u n d o f A labam a (R e t ir em en t fu n d o f fo r m er em p lo ye r , S ta te o f Alabam a) , n o c o n t r o lMad i s o n Co u n ty , Alabam a R e t i r em en t F u n d (R e t i rem en t fu n d o f fo r m er em p lo ye r , Mad i s o n Co u n ty ) , n o c o n t r o l


2/9

FINANCIAL DISCLOSURE REPORTPage 2 of 9

N a m e o f P e r s o n R e p o r t in gSmith, Jr., Charles L.

D a t e o f R e p o r t05/25/201 I

I I I . N O N - I N V E S T M E N T I N C O M E . (R e p o r ~ n g l n d i , id . o ta n d s p o u s e : s c a r p . ~ -~ 4 of~l lng ins~u . lon~)A. Filers Non-lnvestment Income[~] NONE non-investment income.)N o reportable

DATE SOURCE AND TYPE INCOME( y o u r s , n o t s p o u s e s )I . 2010 Sta te of Alabama Re t i r ement $58,725.002 . 2 0 1 0 M ad iso n C o u n ty , A labam a R etirem en t $19,142 .003.4.

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 - i f y o u were married during any portlon of the reportlng yeor, complete this section.(Dol lar am oun t no t re quire d e xce pt for honorar ia . )

D N O N E (No reportable non-investment income.)D A T E SO U R C E AN D T Y PE

I. 2010 Madison Co unty , Alabama Commiss ion - Sa la ry2.3.4.

I V . R E I M B U R S E M E N T S - transportation, Iodglng, food, enter ta inment .( I n c lu 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 c h i ld r e n , " s e e p p . 2 5 - 2 7 o f f i li n g i n s t r u c ti o n s . )~-~ (No reportable reimbursements.)ONE

2.3.4.5.

SOURCE D A T E S LOCATION PURPOSE ITEMS PAID OR PROVIDED


3/9

FINANCIAL DISCLOSURE REPORTP a g e 3 o f 9

N a m e o f P e r s o n R e p o r t in gSm i t h , J r. , Cha r l e s L .

D a t e o f R e p o r t05/25/201 I

V . G I F T S . a n c lu d ~ t h o s e , o ~ p o , ~ e a n d d e p o . d e n , c h ; U r e n ; ~ e e p ~ 2 S - 3 ! of filing instruction~)

~] N O N E (No reportable gifts.)SOURCE DESCRIPTION1.2.3.4.

VALUE

V I . L I A B I L I T I E S . a n c i u d e ~ t h o ~ o f s p o ~ e a n d dependent children; see p p . 3 2 - 3 3 of filing instructions.)D (No reportable l iabili t ies .)ONE

CREDITOR DESCRIPTIONI. Ba nk o f A m e r i ca Cr ed i t Ca r d2.

3.

4.5.

VALUECODEJ


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N a m e o f P e r so n R e p o r t i n gSmith, Jr. Charles L.

D a t e o f R e p o r t0 5 / 2 5 / 2 0 1 1

V II . IN V E S T M E N T S a n d T R U S T S - i .... e , v a l u e , tr .... ,ions (Includes those o f s p o u s e a n d d e p e n d e n , ch i ld r e n ; s e e p p . 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n s . )D (No reportable assets, orONE income, transactions.)

A. B. C. D .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 in g G r o s s v a l u e a t e n d T r a n s a c t io n s d u r i n g r e p o r l in g p e r i o d( i n c l u d i n g t r u s t a s s e t s ) r e po rt i n g p er i o d o f r e p o r t i n g p er i o d

i (I) (2) (I) (2) (I) (2) (3) (4) (5)P l a c e " ( X ) " a f t e r e a c h a s s e t i A m o u n t T y p e ( e . g ., Value V a l u e T y p e ( e . g ., D a t e Value G a in I d e n t i t y o fe x e m p t f r o m p r i o r d i s c lo s u r e i 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 od e 2 C o d e I b u y e r / s e l l e ri (A-H) o r i n t . ) ( J - P ) C o d 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 a c t i o n )

1 . U.S . Savings Bonds-Ser ie s EE2. R e g i on s F i na nc ia l C o r p .3. Cit i Bank Mon ey Fund4. Meadowbroo k , Ltd . 4 .75% Int . in l imi tedpar tnership5. Farm: Madison Cou n ty , A la .6. Farm Renta l House : Madison Co unty , Ala .7. Crown Li f e Ins . - Cash Value8. Apple Com puter , Inc.9. C l o r ox C o .1 0 . l 457(b) Deferred Comp Account:1 1 . - - Amer ican Century Va lue Fund1 2 . - - Fidelity Contrafund1 3 . - - N a t ionw i de F i x e d A ccoun t1 4 . - - Na t ionwide Large Cap Grow th Fund1 5 . - - S & P 500 Index Fund1 6 . Madison Co . AL Re t i rement Fund1 7 . Am Family Broadcas t ing Corp (R e t i rement )

A Interest J TA Dividend J TA Inlerest J T

N o n e J U

D R ent (Crop) P 1 WD R e n t ( H o u s e ) L WA Dividend J T

N o n e L TB D i v i d e n d K T

B Dividend K TD Dividend L TA Interest L TD Dividend L TA Dividend J TB Interest K T

N o n e J T

1. In co m e G ain C od es: A = $1,000 or less B = $1.001 - $2 .500 C = $2,501 - $5 ,000 D = $5,001 - $15 .000(SCo lum ns B 1 and D4) F = $50.001 - $ 100,000 G = $100.001 - $ 1,000.000 I 1 1 = $ 1 . 0 0 0 . 0 0 1 - $ 5 , 0 0 0 . 0 0 0 11 2 = M o r e t b a n $ 5 . 0 0 0 , 0 0 0

2. Valu e Co d es J =$15,000 o r less K =$15.001 - $50.000 L -$50.001 - $100.000 M =$100.001 - $250.000(See Co lu m n s CI an d D 3 ) 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 = M o re lhan $50.000.0003. Value Method Codes Q -Appraisal R =Co s! (Real Estawc Only) S = A s s c s s n l~ m t T =Cash Markc t(Sc Co lu m n C2 ) U -B o o k Valu e V =Olh,"r W = Es t imated

E = $ 15 , 001 - $ 5 0 . 000


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FINANCIAL DISCLOSURE REPORTPage 5 of 9 [ame o f Person R e p o r t i n gSm i t h , J r. , Cha r l e s L . D a t e o f R e p o r t05/25/2011

V I I . I N V E S T M E N T S a n d T R U S T S - in c o ~ , e . ~ o l u ,, ~ a . , o c , io n , a u e l u d e s t h o s e o / s p o u s e a n ~ d e p e , d e n t children; see p p . 3 4 - 6 0 o f f i l l n g i n s t r u ct i o n s . )N O N E (No reportable income, assets, or transactions.)

A. B. D.Description of Assets Income during Transactions during reporting period

(including trust assets) r e p o r t in g p ~ r i o d(i) (2)

i A m ou nt T y pe ( e . g .,Code I d i v . , r e n t ,(A-H) o r i n t . )P l a c e " ( X ) " a f t e r e a c h a s s e t

exempt from prior disclosure

G r o s s v a l u e a t e n do f r e p o r t in g p e d o dO) (2)V a lu e ValueC o d e 2 M e t ho d

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

(I) ( 2 ) ( 3 ) (4) (5)T y p e ( e . g . , D a t e Value Gain Idenlity ofbuy, sell , m m ! d d ~ Code 2 C o d e 1 buyer/seller

r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t et r a n s a c t i o n )

1 8 . Fix Corp Intl. , Inc. (Y)1 9 . Sanmina -SCI Corp20 . PACT (AIa . Prepa id Af fordable Col lege

Tui t ion p lan )21 . Schola r s Choice (Section 529 P lan) - NoCont r o l22 . Easy Street Investors Corp. :23 . Educat ion IR A No. 1 :

N o n e J TA Interest K TB Dividend J T

N o n e So ld

See P ar t Vl l l

12/3 I/I0 K A ESI C o rp . o See Par tVIII

24 . - - Ci t iBank NA Bank Depos i t ( fo rmer ly SB A Interest J TMoney Funds )25 . - - Coca Cola Bot t l ing Co . A Div idend J T26 . - -Adtmn, Inc . A Dividend J T27 . - - O versto ck .C o m , In c. N o n e J T28 . Educat ion IR A No. 2 :29 .30 .31 .32 .33 .

- - Legg M ason Par tne r s ( f ormerly SBAggress ive Growth Fund s ) A Dividend J T- - Ci t iBank NA Bank Depos i t ( fo rmer ly SB AMoney Funds ) Interest J T- -Adtran , Inc . A Div idend J T- - Over s tock .Com, Inc . N o n e J TEducat ion IR A No. 3 :

34 . - - Legg M ason Par tne r s ( f ormerly SBAggress ive Growlh Funds) Dividend

1. In co m e G ain Co d es: A = $1.000 o r less B = $1,001 - $2 .500 C = $2,501 - $5 ,000 D = $5.001 - $15 .000(Scc Columns B I and D4) F =$50,001 - $ 109.000 G -$100,001 - $1.000,000 I I I =$ 1 .0 00 .0 01 - $ 5, 00 0. 00 0 1 12 = M or e th an $ 5 .0 00 .0 00

2 . V a l u e C O d , . :~ J $15.000 or less K =$15.001 . $50.000 L =$50,001 - $100.000 M =$100,001 - $250.000(See Co lu m n s CI an d D 3 ) N =$2 50.001 - $ 500.000 O =$5 00,001 - $1.000.1)00 P I =$ 1 ,0 00 .0 01 - $5 .0 00 ,0 00 P 2 = $ 5. 0( ]O .0 01 - $ 25 .0 00 .0 00

P3 =$2 5,000.001 - $50.000.000 P4 =Mo re than $50.000.0003. V a lue M e th od Codes Q =Appraisal R ~ost (Real Estate Only) S =Assessment T : :: : C a s h M a r k e l(See Co lu m n C2 ) U -B o o k Valu e V : Othe r W = Es t ima ted

E = $ 15 . 001 - $ 5 0 , 000


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N a m e o f P e r so n R e p o r t i n gSmith, Jr., Charles L.

Date of Repor t05/2512011

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, vo l .e , ~o~ ocrio~ a .cl .des ,hose o /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 offillng instructions.)[ ~] N O N E (No 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 me d u r i n g( including t rus t assets ) r e p o r t in g p e r i o d

0) (2)Place "(X)" af ter each asse t I A m o u n t T y p e ( e . g . ,

e x e mp t f r o m p r i o r d i s c l o s u r e C o d e I div . , r ent ,i ( A - H ) o r i nt . )

Gros s va l ue a t endo f r e p o r t i n g p e r i o d(I) (2)

V alu e V a lu eC o d e 2 M e t h o d

( J -P) C o d e 3

(1)T y p e ( e . g . ,b o y , s e l l ,

redemplion)

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

mm/dd~ Code 2 C o d e I buyer/seller( J - P ) (A-H) ( i f p r i v a t e

t x a n s a c t i o n )

35 . -- CitiBank NA Bank Deposit (formerly SBM oney Funds) I n t e r e s t

36. - - Adtmn , Inc . A Dividend J37 . -- Overstock .Corn, Inc. None J

38 . Education IRA No. 4:

39 .

40 .

41 .

42 .

43 .

44 .

45 .

46 .

47 .

48 .

49 .

50 .

51 .

-- Legg Mason Partners (formerly SBAggressive Growth Funds)-- CitiBank NA Bank Deposit (formerly SBM oney Funds)-- Adtran, Inc.

-- Overstock.Com, Inc.Coca Cola Bottling Co.

eBay, Inc.Trust No. 1:

-- Citibank NA Bank Deposit Program

-- ITC DeltaCom, Inc. - New Issue

-- Franklin Federal Tax Free Income FDClass A (X)Vanguard Age-Based Aggressive Growth(Section 529 Plan)Adtran, Inc.W alt Disney (acquisit ion and merger ofPixar into Disney)

A Dividend JA I n t e r e s t JA Dividend J

None J

A Dividend JNone J

A Dividend KA I n t e r e s t J

None

A I n t e r e s t KA Dividend JA Dividend JA Dividend J

T

T

T

T

T

T

T

T

T

T

T

T

Sold 12/08/10 J

I . I n c o m e G a i n C o d e s : A =$1.000 or less B =$1.001 - $2.500 C = 52.501 * $5.000 D = 55.001 - $15 .000(See (Solumns B I and D4 ) F = $ 5 0 . 0 0 1 - $ I 0 O . 0 0 0 G = $ 1 0 0 . ( 3 0 1 - $ 1 . 0 0 0 .0 0 0 1 1 1 = 5 1 . 0 0 0 . 0 ~ 1 - $ 5 . 0 0 0 . 0 ~ 0 112 =More than $ 5.00~.000

2. Valu e Co d es J = $15.000 or less K = 515,001 - $50.000 L =550.001 - $ 100.000 M = 510~.0O I - 5250,000(See Co lu m n s CI an d D 3 ) N = $ 2 5 0 . 0 O I - $ 5 0 0 . 1 X 3 0 O =$50~.001 * $1 .~0.000 P I = $1 .0 (} 0. 00 1 - $5 .0 00 .0 00 P 2 =$ 5. 00 0. (~ 11 - $ 25 .0 00 .0 00

P3 =$ 25.000.091 - 550.000.000 P4 =l".torc than $50.000.0003. Value Method Codes Q =Appraisal R =:Cost (Real Estate Only) S = A s s c s sm c a a t T =Cash Markc l{Scc Column C2) U =B c ~k Valu e V =O lher W =Estimated

E =$15.0~1- $50.000


7/9


N a m e o f P e r s o n R e p o r t in gSmith, Jr., Charles L.

D a t e o f R e p o r t0 5 / 2 5 / 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 ,c o ~ , ,. . . a l u o . ~ a , ~ i o ~ (lndudes those of spouse and dependent children: see pp. 3 4-60 of f illng ittstructlons.)N O N E (No reportable income, assets, or transactions.)

A. B. D.D escrip tio n o f A sse ts In co m e d u r in g T ran sa ctio n s d u r in g rep o r tin g p e rio d

( including t rus t a s se ts ) r e p o r t in g p e r i o dI (I) (2)Place "(X)" after each asset , A m o u n t Type (e.g.,

e x e mp t f r o m p r i o r d i s c l o s u r e ! Code I div . , r ent ,[ ( A - I f ) 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

(I) (2)V a l u e V a l u e

C o d e 2 M etho d( J - P ) C o d e 3

(I) (2) (3) (4) (5 )T y p e ( e . g ., D a t e Value Gain I d e n t i t y o f

bu y , se ll, m m /dd iy y Code 2 Co de I buy er/se llerr e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e

t r a n s a c t i o n )

52. Lincoln FinancialGroup (X) A I n t e r e s t S o l d 10/18/10 K A53. Annuity - Wes tern Nat. Li fe Ins . Co . (X) A I n t e r e s t S o l d 10/18/10 K A5 4. Educ at io n IRA No. 5:

55. - - Ci t iBank NA Bank Deposi t Account

56. Trust No. 2:A I n t e r e s t J T Open 04115/10 J

57 . -- CitiBank NA Bank Deposit Account A I n t e r e s t J T O p e n 11/19/10 J

I . Income Gain Codes: A = $1.000 o r less B = $1,001 - $2 ,500 C = $2,501 - $5 ,000 D =$5.001 - $15.000(See Co lu m n s B I an d D 4) F = $50,001 - $100.000 G =$100.001 - $1.000,000 Ill = $1.000.001 - $5 .000.000 112 =More than $5.000.000

2. Valu e C o d es J = $15.000 o r less K =$15.001 - $50.000 L =$50.001 - $100.00~ M =$100.001 - $250.000(See Co lu m n s CI an d D 3 ) N =$250.001 - $500.000 O =$500.001 - S 1.000.000 PI =$1.000.001 - $5.0~.000 P2 =$5.0~O.001 - $25.000.000

P3 =$2 5.000.001 - $50.000.000 P 4 = M o r e t h a n $ 5 0 . 0 0 0 . 0 ( ~ O3. Valu e M etho d Co d es Q =App raisal R ~Cos! (Real Eslatc Only) S =Ass~ssmen! T =Cash Markc~(See Co lu m n C2 ) U =B o o k Valu e V = Olh o" W = Es t ima ted

E =$15.0~1- $50,000


8/9

FINANCIAL DISCLOSURE REPOR TPage 8 of 9

N a m e o f Person Repor t ingSmith, Jr. Charles L.

Date of Report05/25/2011

V III. ADDITIONAL INFORM ATION OR EX PLANATIONS. (lndicatepartofreport)Par t VII , page 5 , l ine 18 : This s tock was d ecla red va lue less, ceased t r ading , and was d e l is ted f rom the s tock exchan ge .Par t VII , page 5 , l ine 22 : As a r e sul t o f se l l ing my s ingle sha re of s tock in the "Easy S tree t Inves tor s Corp. " to the inves tment c lub (not a p r iva te indiv idua l ) , a l l o fthe c lub inves tments previous ly l i s ted o n l ines 23 -48 o f the 2009 F inancia l Disclosure R epor t were omit ted f rom th is Repor t .


9/9


Name of Person R epor t ingSmith, Jr~ Charles L

Date of Report05/25/2011

IX. CERTIFICATION.I c e r ti f y t h a t a ll i n f o r m a t io n g i v e n a b o v e ( i n c lu d i n g i n f o r m a t io n p e r ta 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 ld r e n , i f a n y ) i s

accu r a te , t r ue , and comple te to th e b es t o f my know ledge and b e l ie f , and th a t any in f o r mat ion no t r epo r ted ~v as w i th h e ld b ecause i t met app l icab le s ta tu to r yp r o v i s io n s p e r m i t ti n g n o n - d i s c l o s u r e .I f u r t h er c e r ti 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 n

c o m p l ian c e w i th the p r o v i s io n s o f 5 U .S .C . ap p . 5 0 1 e t . s eq . , 5 U .S .C . 73 5 3 , an d J u d ic ia l Co n fe r en c e r eg u la t i o n s .

Signature: S/Charles L. Smith, J r.

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L Y A N D W I L F U L LY F A L S I F IE S O R F A L L S T O F I L E 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 ILA N D C R I M I N A L S A N C T I O N S ( 5 U . S . C . a pp . 1 0 4)

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

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Charles L Smith Jr Financial Disclosure Report for 2010

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