l!. PORT ANT ORGANIZATION/ENTITY :-.: L - t n ' I. , I : ..·· ' - Report Required by the Ethics FINANCIAL DISCLOSURE RPORT AO 10 in Govermenl Act of 1978 Rev. 111010 FOR CALENDAR YEAR 2009 (5 USC app §§IOI-If I) I. Person Reporting (laSI name, firt, middle initial) JONES Ill, JOHN f. 2. Court or Organization US COURT-MIDDLE DISTRICT OF PA 3. Date of Repr 05/12/2010 4. Title (Article Ill judges mdicatc active or senior starus; magistrate judges indicate fuH- or part-time) US DISTRICT JUDGE Sa. Repor Tye {check appropriale typÛ) D Nomination, Date D Initial [ Annual D Fmal 6. Reporting Period 01/01/2009 to 12131/2009 5b. D Amended kcport 7. Chamber or Office Addres 240 WEST THIRD STREET SUlTE406 WILLIAMSPORT, PA 17701 K. On the basis of the information contained in this Report and any modifications pertainint thereto. it is, in my opinion. in compliance with applicable laws and reulations. Reviewing Oficer DateÜ·---- - - - NOTES: Tre instructions accompanying thisform mus/ befollowed Complete all parts, checking the NONE boxfor each purl where you have no reportable information. Sign on /<st puge. I. POSI TI 0NS. (Reportng individual only; see pp. 9-13 of fling in>1ruc1ums.) NONE (No reportable positions.} D POSITION NAME OF I. 2. J. 4. 5. II. AG REE l·1ENTS. (Reporlng indiidual only; supp. U-16 of fiig instructions.) D NONE (No reportable agreements.) .. .. PARTIES AND TERMS ,.. . _.. -Ú L u .•.1 t_.J.) ·- J :-: I ' I. 2002 THE STATE EMPLOYEES RETIREMENT SYSTEM (l'ENNSYL VANIA) FORMER EMPLOYER - VESTED PENSION 2. 3. Jones 111, John E.
Transcript
l!l.f PORT ANT
ORGANIZATION/ENTITY
:- .: L.J
-
t
n '
I.. ,
I :
...:··
' -
Report Required by the Ethics FINANCIAL DISCLOSURE REPORT AO 10 in Governmenl Act of 1978 Rev. 111010 FOR CALENDAR YEAR 2009 (5 U.S.C. app §§IOI-If I)
I. Person Reporting (laSI name, first, middle initial)
JONES Ill, JOHN f.
2. Court or Organization
US COURT-MIDDLE DISTRICT OF PA
3. Date of Repurt
05/12/2010
4. Title (Article Ill judges mdicatc active or senior starus; magistrate judges indicate fuH- or part-time)
US DISTRICT JUDGE
Sa. Report Type {check appropriale typ )
D Nomination, Date
D Initial [{_] Annual D Fmal
6. Reporting Period
01/01/2009 to
12131/2009 5b. D Amended kcport
7. Chambers or Office Address
240 WEST THIRD STREET SUlTE406 WILLIAMSPORT, PA 17701
K. On the basis of the information contained in this Report and any modifications pertainint! thereto. it is, in my opinion. in compliance with applicable laws and regulations.
Reviewing Officer Date ·-------
NOTES: Tire instructions accompanying thisform mus/ befollowed. Complete all parts,
checking the NONE box for each purl where you have no reportable information. Sign on /<1st puge.
I. PO SI TI 0 NS. (Reporting individual only; see pp. 9-13 of filing in>1ruc1ums.)
NONE (No reportable positions.} D
POSITION NAME OF
I.
2.
J.
4.
5.
II. AG REE l\·1ENTS. (Reporling individual only; supp. U-16 of filing instructions.)
D NONE (No reportable agreements.)
....
PARTIES AND TERMS
,.... _..
-
LA.)
u .•.1
t_.J,.) ·- J
::-::;
I
'
I. 2002 THE STATE EMPLOYEES RETIREMENT SYSTEM (l'ENNSYL VANIA) FORMER EMPLOYER - VESTED PENSION
2.
3.
Jones 111, John E.
2
l>ate of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
05/12/2010JONES Ill, JOHN E. Page 2 of 13
Ill. NON-INVESTMENT INCOME. (Reportinginrlivid11alandspouse;seepp. /7-Uoffilinginsrrurtions.)
A. Filer's Non-Investment Income
[ZJ NONE (No reportable non-investment income.)
SOURCE AND TYPE
I.
INCOME
(yours, not spouse's}
2.
3.
4.
B. Spouse's Non-Investment Income - lfyou were ma"ierl during anyportion of the reporting year, complete this section.
(Dollar amoun/ ttol required except for honoraria)
[ZJ NONE (No reportable non-investment income.)
SOURCE AND TYPE
I.
3.
4.
IV. REJ!\o1BURSE 1ENTS -- transportation, fodging,food, entertainment,
(h1dudes thusc: to spol4.1e and dependem children; see pp. 25-27 ojjiling ins1ruclions.)
D NONE (No reportable reimbursements.)
SOURCE DATES
I HUMANIST SOCIETY OF 2/13-2117 SANTA BARBARA
2. HEFSTRA UNIVERSITY 3/J I - 3/12
3. LIBERTY UNIVERSITY 3/2() -312 1 SCllOOL OF LAW
--- --·-----·---- --
4. UNIVERSITY OF 3/22 - 3123 MARYLAND
5. /,NTl-DEFArvlATlON 3/26 3.'27 U-:AGlJE
(>. MERCFRSBURG 3/31
LOCATION
SANT A BARBARA. CA
HAMPSTEAD, NY
L YNC!iBURG, VA
COLLEGE PARK. MD
HOUSTON. TX
MERCERSBURG. PA
PURPOSE
LECTURE
LECTURE
MOOT COURT AND LECTURE
LECTURE
LECTURE
LECTURE
ITEMS PAlD OR PROVIDED
AIRFARE
MILEAGE, HOTEL, AND MEALS
MlLEAGE, HOTEL, AND MEALS
MILEAGE, HOTEL, AND MEALS
AIRFARE, HOTEL, AND MEALS
HOTEL, MILEAGE, AND MEALS
------
JI.
14.
15.
19.
FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report
Page 3 of 13 JONES Ill, JOHN E. 05112/2010
ACA DEMY
7. FEDERAL JUDGES 5/2 -5/4 WASHINGTON, DC BOARD MEETING MILEAGE, HOTEL, AND MEALS ASSOCIATION
8. RICHARD S RODNEY 5/13-5/14 WILMINGTON, DE LECTURE HOTEL, MILEAGE AND MEALS AMERICAN INN OF COURT
9.
10.
DREXEL UNIVERSITY 613 PHILADELPHIA, PA LECTlJRE HOTEL, MILEAGE. ANO MEALS
ASPEN INSTITUTE 6i30-7/2 ASPEN, CO PANEL HOTEL, AIRFARE, AND MEALS
BRIDGEWATER COLLEGE 9/17 BRIDGEWATER, VA LECTURE AIRFARE
12. SOUTHERN METHODIST 9123 - 9126 DALLAS, TX LECTURE AIRFARE. llOTEL, AND MEALS UNIVERSITY
LECTURE13. GEOLOGICAL SOCIETY 10/17-10/20 PORTLAND, OR AIRFARE, HOTEi., AND MFAL.S
16.
OF AMERICA
BERKS COUNTY BAR 10127 READING, PA LECTURE PARK ING ASSOCIATION
ST MAR Y'S COLLEGE Of. 1112 - 11/3 ST. MARY'S ClTY, MD LECTURE M ILEAGE. HOTEL, AND MEALS MARYL.AND
INTERNATIONAL 11/11 PHILADELPHIA, PA LECTURE MILEAGE ASSOCIATION OF DEFENSE COUNSEL.
17. RUTGERS UNIVERSITY 11/16-11/17 NEW BRUNSWICK, NJ LECTURE MILEAGE, HOTEL, AND MEALS
18. TEMPLE UNIVERSITY 11/20 Pll!LADELPHIA, PA LECTURE MILEAGE AND MEALS
PENN STATE 12/1 STA TE COLLEGE, PA LECTURE MILEAGE, HOTEL, AND MEALS UNIVERSITY
20. lNDIANA UNIVERSITY 12/4 - 12/5 BLOOMINGTON, IN LECTURE AIRFARE, llOTEI.. AND MEALS
CREDITOR DESCRIPTION CODE
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 4of13 JONES Ill, JOHN E. 05/12/2010
V. GI Frf S. (Includes those to spouse and dependent children; see pp. 28-31 of filing instruction.f.)
l.2J NONE (No reportable gifts.)
SOURCE DESCRIPTION
I.
VALUE
2.
3.
4.
5.
VI. LIABILITIES. (Includes those of spouse and dependent children; see pp. 31-33 of filing instructions.)
l.2J
I.
2.
NONE (No reportable liabilities.)
VALUE
3.
4.
5.
(I) -f-���E
I'
19 i I i i
Ii,;! ·1 1; I .;;;
·· ,.· . i';::,,:'.;,i ;:.,: !1L ff! I ,\
- ·'"' .. 1
!HU 1 \i r ,
t>j: 1 ''"
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b!i1\! 1;111b ;: \;;: ¥\Etl
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----- ---·--·-
(A-H)
Name of Person Reporting D•te of Report FINANCIAL DISCLOSURE REPORT Page 5of13 JONES Ill, JOHN E. 05/12/20 I 0
VI I. INV I<:STM ENTS and TRUSTS -- income, value, 1ransacti<lns r1nc1udes those of spouse and dependent children; see PP· 14-60 of filinx i1wruc1ions.1
D NONE (No reportable income, assets, or transactions.)
A. B.
Description of As:'cts Income during
(including trust assets) reporting period
(2)Place "(X)" aik:r each asset Amount TyJ'<' (o.g.,
exempt from prior disclosure div., rent. Code I I I or int.)
C. D.
Gross value at end TransactioPs during reporting rio<l
of reporting period -(I) (2) (3) (5)
Type (e.g., Dale Value ldl'nlit)·OfI ::n buy, sell, mm/dd!yy Code 2 Code I buyer/seller
A =$1,000 01 \e:>s. f $50,001 -SIOQ,000 J "$15.000urkss N ·:$))0.0<ll • $500.000 PJ '"'"S25.000,00I S50,000,000
O =Appraisal
U nook Value
B =51.00! - $2,SOO G "Sl00,001 - SI ,000,(){Xl K "st 5.001 - ssa.ooo O: S)00,001 • Sl,000,ll< l
R ""C'osl (Rr:al Est:ltl; OnlyJ
V=Olht."r
·c 7-$2,501 $5,000 fll =Sl,000.0QI SS,000.(J(JO I. ..ssiiJJOI · S 100.000 Pl ··Sl,000,<)()I -$5,000.<l\)() N =More th:m $ 0,000,000 :i "-"AS'><: mcnl W=Estirr.atcd
D =$\,001 • $15.000 E ..s 15,00 I · $ 50,000 I 12 ··Mor than S5.000,000 M =$100.001 • $250.<ll/I) P2 =S5.000.00I - $25,0fJ\1.000
T =Cash Market
! I
I
i
v i-- ::::: (2) (4) (5)
L_
'
!
i I
. Code l ; div., rent, (J-P)
(Q-W)
Date or Report Name or Person Reporting FINANCIAL DISCLOSURE REPORT Page 6of13 05/12/2010JONES Ill, JOllN E.
VII. INVESTMENTS and TRUSTS - income, value, 1ransact1ons 11nc1udcs those of spouse and dependent childrm: see PP· 14-60 of filing u.s1ructions.1
D NONE (No reportable income, assets, or transactions.)
A.
I Description of Assets (including trust assets)
B. D. Income during Urus:s value at end
c. Transactions <luring r pot1ing period
reporting period of reporting pC"rio<l (i) · 1 (2)
Date. Amount : Type (e.g., v 1L (3) [ Gainexemp
t
Place "(X)" after each a.:;sc1 from prior disclosure
Value )mm/<ldlyy Code 2
Identity of
t.... ..... · ..:i ·)···
Code 2 Mclhod buy, sell, Code I buyer/seller(if private
transactionj (A·ll)(J-P)Code 3 redemption)
---·---_ __I_ 18. OPPENHEIMER GLOBAL FUND A -
MUTUAL FUND A Dividend J T
19. OPPENHE!MBER CAP!T AL APPRECIATION FUND A - MUTUAL FUND
None J T
20. WYE COMMON STOCK-IRA A Dividend Redeemed 10115109 J c
21 CVX COMMON STOCK-IRA B Dividend K T
22. l!PQ COMMON STOCK-IRA A Dividend J T
23. XOM COMMON STOCK-IRA A Dividend K T
24. FUL T COMMON STOCK-IRA A Dividend J T
25. GE COMMON STOCK-IRA A Dividend J T
26.
27.
HON COMMON STOCK-IRA
KMfJ COMMON STOCK-IRA
A
A
Dividend
Dividend
J
K
T
T
28. SOY COMMON STOCK-IRA None Merged (with line 29)
2125/09 J
29. BANCO SANTANDER CENT HISPANO CI>R- IRA
A Dividend J T
i}O MRK COMMON STOCK-IRA A Dividend J T
3 I. MMM COMMON STOCK-IRA A Dividend K T
32. PEP COMMON STOCK-IRA A Dividend K T i
}J, PFE COMMON STOCK-IRA A Dividend J T
J4. UNION BANCORP INC - IRA A Dividend J T
I. Income Gain CO'<les: A -'-'$1,000 or ks B =Sl,<)ll - SZ,500 c =$2,501 . 15.000 D --:SS.llOI - .$ 15,000 E =-e:SJ.S.001 - :S)O,O(K) (Sec Columm HI and 04) f -$50,001 - $ !00,000 G =1100,001 -11.000,000 Ill =$1,000.001 - $5,000,000 111.=Morc t!i.;1n S5,000,000
. Value Codecs J " SIS.000 or ks:s K =$15,001·150,000 L =SS0,001 -1100,000 M s1uO,(l(H. s25o.ooo ·tScc Columns Ci and DJ) N =$2)(),(1()) - \;IJ0.000 0=151JO.()()l. $1,000.000 YI =11,000.001 -15.000.!XXl P2 = 1.5,00U,001 • 2 ,000.000
Pl =S,5,000,001 - $10.00<l,OOO P4 =M0rc than SS0.000.0C-O ]. Value Method Codc:s Q =Appnus. 1 R :.:Cost (Rc:al E:w11e Only} S -Ass.:ssmcni T =-(·ash Mark.:!
(Sc;-e Column C2) U-=Bo.ak VJ.Jue V::Otht:r W ·-b1imated·
ins1rucrions ..
42
e
c
Jj(2) Value
Method Code (Q-W)
i
(\x .. k•s
(2)
- I
'
l
i '
I
1
A.
Oat• of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
05il2/2010Page 7of13 JONES IIJ, JOHN E.
VI I. INVESTMENTS and TRUSTS - income, vatue, 1ran.<ac1ions r111<1udes 11iose of spouse anJ dependent children; see PP· 11-60 of filing
D NONE (No reportable income, assets, or transactions.)
(including trust assets) L reporting period of reporting period ,.' (Ii (2) , (I)' (3) (4) (5)Place "(X)" atler ach asset Amount Type (e.g.• Value Identity of Type
(])(e.g., Date Value Gain
ex.empt from prior disclosure Code I div.• rent, Code 2 buy, sell, mm/dd/yy Code Z i Code I buyer/sellerI(A-H) or int.) redemption) \J-P) (A-H) (if private i
: (J-P) 3I tram;action)
. ........ · ---
Description of Assets
B. D.
Income during Gross valu al end Trans.actions during reporting period
35.
36.
37
38.
39.
40.
41.
43.
44.
45.
46.
47.
48.
49.
50.
NA TIONWJDE MUTUAL FUND CLASS
A
UNION BANK & TRUST CO.-SAVJNGS
SIRIUS SATELLITE RADIO - COMMON
STOCK
SIRIUS SATELLITE RADIO INC -COMMON STOCK
FIDELITY BLUE Cl IIP VALUE FUND -MUTUALFUND-FBCVX
VANGUARD PA LONG TER!vf TAX EX -
MUTUAL FUND
FIDELITY REAL ESTATE INCOME FUND - MUTUAL FUND
FIDELITY INVESTMENT - M/M FUND
AFLAC INC - COMMON STOCK - IRA
DREYFUS SMALL CAP - MUTUAL FUND
SCHWAB S&P 500 INDEX - MUTUAL FUND
VANGUARD !NTL VALUE FUND -
MUTUALFUND-VTRIX
VANGUARD STRATEGIC - MUTIJAL
FUND-VSEQX
FNB DAILY FUND - IRA
HOME DEPOT INC - COMMON STOCK
VERIZON-COMMON STOCK - lRA
A Dividend
A lntcrest
None
None
A Dividend
A Dividend
A Dividwd
A Dividend
A Dividend
A Dividend
A Dividend
A Di vidend
A Oil'1dend
A Dividend
A Dividend
A Dividend
J T
J T
J T
J T
J T
J T
J T
J T
J T
J T
J T
Open
Sold
(part)
Sold
Sold
Sold
Sold
Sold
is1. FNB DAILY FUND - IRA A Dividend M T
6/15/09 J
9114109 J
9/14109 J
3/16109 J
5/21109 J
1/12/09 J
7/10109 J
l tncomc G<tin Cotlc : (S l" Clilumns BI and 04 >
2. Valu..: tSr:e Columns Cl and D3)
1 Val11;: Ml'th('>(.I Cock ($c(· Column Cl)
A "'Sl.OOOor lc.;s
F •S50,00I - SI00,000
J =···StS,OOOor less N "--S.!50.001 -1500,000
P3 ;:S:?S,OCl0,001 • S50,000,000
Q 'O.'Appraisal U =l.iook Value
ll =Sl,001 • $2,500
G - $100,001. St,000.000 t-.. =St5,(l()I S50.00()-0 =S500.00I Sl.000.fl(]'j
R =Cost (Real hiate Only) \':Other
C =Sl.501 • S5,000
fll =R000,001- S5.ll<l0.000 L =S50,00I. SI00,000 Pl =S l ,000,001 . $5.000.l hl
P4 ""More th'ln tS0.000.000
S-/\ss ss1n.:nt \\' "-"l:s1im:itcJ
D =$5,001 -Sl5,000 E 415.001, S>0.000 112 ""'More than $5,0f.I0.000 M =SI0,1,001 - $250,000 P2 ""'$5,llQ0,001 - 525.000,000
Date of Report Name oJ Ptrson Rrporting FINANCIAL DISCLOSURE REPORT
Page 8 of 13 05112/2010JONES Ill, JOHN F:.
VJ I. INVESTMENTS and TRUSTS - in<ome, vatue, transactions (1nc1ur1es 11iose of spouse and fkpenden• chitdren; Jee PP· 34-60 of ft/inc insrruction.v.J
NONE (No reportable income, assets, or transactions.) DI, A. B. c.
Income during Gross value at end Description of Assets
reporting period of reporting period (including trust assets) 1·(I) (2) (I)
Amount Type (e.g., Yalu.:
exempt from prior disclosure
Place "(X)" after each asset Code I div.• rent, Code 2 (A-H) or int.) (J-P)
___)________ . ·-····-····----
(2)Value
Method Code 3 (Q-Vf)
D. Trnns.actions during reporting period
v e :;n lde; y of buy. sell. mmidd/yy Code 2 Code I buyer/seller
redemption) : (J-P) (A-H) lifprivatc
___ _ __ .. --- '· ....... . )• .
52.
53
54.
55.
56.
57.
58.
59.
60.
61.
62.
63.
64.
65.
66.
67.
68.
APPLE COMPUTER · COMMON ST<XK None
GLD - COMMON STOCK None
!SHARES SILVER TR - COMMON None STOCK
FED ERA TED TOTAL RETURN BD c Dividend MUTUAL FUND - IRA - FTRBX
VANGUARD lNTERM TERM BOND c DividendINDEX FUND - IRA - VJBSX
VANGUARD SllORT-TERM FED-ADM B Dividend#549 MUTUAL FUND-IRA VSGDX
TARGET CORP - COMMON STOCK - A Dividend IRA
WALGREEN CO-COMMON STOCK - A Dividend IRA
WELLS FARGO & CO-COMMON A DividendSHXK - IR A
RR WNNELLEY & SONS CO - A DividendCOMMON STOCK - IRA
UNITED PARCEL SERVICE CL B - A DividendCOMMON STOCK - IRA
APPLIED MATERIALS - COMMON A Dividend STOCK- IRA
fNTEL CORP· COMMON STOCK -IRA A Dividend
MICROSOFT CORP· COMMON STOCK A D ividend -IRA
SELECT SECTOR SPDR TR UTILITIES - A DividendCOMMON STOCK - IRA
SELECT SECTOR SPDR TR MATERIALS A Dividend - COMMON STOCK - IRA
DODGE & COX STOCK FUND - B Dividend MUTUAL FUND - IRA
j
K
L
L
L
J
J
J
J
J
J
J
K
K
L
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
Sold 10/22/09 J B
(part)
Sold 6/J/09 J A
Sold 7/1/09 J
I Income Gain Co ics {S1:1: Cl•lumn:;: Bl a11J D4i
2 V:ihic CoJc
A.-:$! .000 or k s F •SS0.001 . SIOO.llOO J =S 15,000 or Jes),
II =$1,001 • S2.501l U •SHi0.001 · Si.000.0<h)K =$15.001. 550.000
C ·,$2,501 - 'SSJX>O HI ·s1.ooo.001- 11.000.000
L S50,D01 -$f00.000 (Sec Columns Cl and D.1) N =S,50.001 . S500.00\l o ssoo.001 . s1 .ooo.ocJIJ Pl ..,..Sl.000.001 · SS ,00-0,000
3. Value Method Cv<lc:.
tSe..: Co!umn C2)
Pl =SlS.000,001 · S50.000.00U Q =ApprJisal IJ =-Book ValtJc
K us! (Real Eslatc Only)
V-=Other
N ""Mort.! thiin SS0,000,000 S ;:Asse smc-nt \V..obturnitcd
.. , D -Sl.001 -SIS.iltl<l E41l.001-S50.00Cl \ H2 =More lhari S5,0fJQJ)(X) M =SI00,001 • S:?SO.(X>OP2 °Sl.OOO.OOI · $ 5.l lll.000
T -"'Cash Market
------ · .
f pe;�
J
1������:; ;;00 ,::;:,:
'
··------------ .
(Q-W)
()ate of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 9of13 JONES III, JOHN E. 05/12/2010
Vil. INVESTMENTS and TRUSTS - income, val"•· transactions (lncludeo rhose ofspouse and dependent children; SU pp. J.1-60 of filing instruction5.)
.O NONE (,/\/o reportable income, assets, or transactions.)
A. -1-··-· D.8 c. Description of Assets Income during Gross value at end
(including trust assets) o :? rting +---( )1- 1··
' Place "(X)" atkr each asset :Amount Value Value I Typt: tc.g., , i Code I exempt from prior disclosure div.• rent. Code 2 Metl1od ! buy. sell. Code 2 Code l buyer/sellermm/ddlyy
(A-H) or int.) (J-P) redemption) (J-P) (A-H) (ifprivatctransaction)
Code 3
69.
70.
71.
72.
73 .
74.
75.
76.
77.
78.
79.
80.
81.
82.
83.
84.
85.
FIDELITY FUND (FFIDX) - MUTUAL f'UND
OPPENHEIMER MONEY MARKET -MUTUAL FUND
MEREDITH CORP - IRA
CITIGROUP - IRA
FEDERATED STRATEGIC VALUE FUND #662 - IRA
OAKMARK !NTL #109 - IRA
HARBOR INT'L FUND# 11 - IRA
BAIDU COM INC SPON ADR
LlflERTY GLOBAL INC
S&P MID CAP 400
ORRSTOWN FINANCIAL SERVICES
SUSQUEHANNA BANK
AMERICAN CENTURY MID CAP VALUE
BRIDGEWAY LARGE CAP GROViTH
FIDELITY BALANCED FBALX
SWEDISH EXPT CR CORP ELEMENTS
VANGUARD US VALUE VUVLX
A Dividend
A Dividend
A Dividend
None
A Dividend
A Dividend
A Dividend
None
None
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
None
A Dividend
T
Redeemed
J T
J T
K T
J T
J T
J T
J T
J T
J T
J T
J T
J T
J T
Sold
J T
6/l 5/09 J
6/18/09 J
I. JocomeGairiCClde-s. A =S 1.00() or less ll "SUJOI - 12.500 (See Column:.; 81 and D-1} F e$50.CJOI - S 100,IXXJ (i =SI00,001 - SJ .000.000 1
2 Value Codes J =S. 5,000 or less K •$15,001 · 550.000-(Set: Colurnm Cl and DJ) N •S250.00J - SI00.000 O "$500,0tll SJ .000,000 r1 ·S25.000,00I -S50,(}()<JJJiJ()
l \"aluc Method Codes Q =Ar1prnis i1 R =Co:;t 1Rc::1l bt:n.:;: Onl)'J !Se · Column Cl) U ""0•>0\.: Vahtt' V ·Other
c •52.501 -15,000 I) ·15,001 - 515,000 E =SI S,l)(}J - SS0,000Ht ·ll.000.001 - $5.00<l.OOO ll2 ' More than SS,000,000 L ,S50.(KJI - SI00.000 M . . 100,001 -1250.1XXi l'l •.11,000,001 -15,000.000 Pl 15.000.fXll . 125,()(JO.OtlO f'4 =:....tore 1h;m 50,000.000 S Assc.ssment W . fa!i m.ucd
IJ
· -- ---------·
I i i
··- -
(J)-
l-
f2 ) (4) -- --- ·· -- -- - · · -· · ·
-(I)
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT Page 10of13 JONES Ill, JOHN E. 05fl2/2010
VI I. INVESTMENTS and TRUSTS - incume, vatue, 1ransact1ons r1nc1ud"" those of spouse and dependent children; see PP· u-60 offuin11 instructions.)
0 NONE (No reportable income. assets, or transactions.)
--·--····-·-·· T--- ..A. C. D.
Dc-scription of Assets i Income during Gross value al end Transactions during reporting period I(including trust assets) reporting period of rcportir1g period
-' (2) (2) (3) (5)
AmountI (l) ! Date Value Identity of mrn/dd!yy , Code 2 Code l buyer/seller
GainPlace "(X)" aner each asset t!xempl from prior disclosure
Type (e.g .. div., rent. Code 2 Method
Type (e.g.,Value Value 1· Cude l buy, sell, i
I (A-H) or int) (J-PJ Code 3 , (if private redemption) (J-P) (A-If)
A =-$ 1.000 or kss F sso.001 . SIOO,Of•l J ""$15,000 or less
N "S250,0!JI · $500,UOO
P3 '-'$25.tlOtl.OOI S50.(>IJ'l.OI )-
Q · Appra1S<1I ·
.t.1 : Book Value
· =S!.<lQI l],500
G =$100,001 - Sl.000,fXIO K =$15,IXll • 150.000 0 =$500,IJOI - St,IJ00,000
K co 1 meal btalc Only} V ""Other
c =$2.501 - $5,000 HI "Sl.000.0HI -15 U00.000 1 · S<O,O<JI · St00.000 Pi .-11.000.001 - ss.000,000 P4 ::Mme !han SS0,000.000 s "-ASSCS'Hncnt W =E:,hm:itcd
D=$5.00I -Sl5,000 E "$15,001 -150,0tlQ
H2 =More than . 5.000.000 M =$100.001 - $250,0<JO P2 =SJ,000,00t . 125,000,000
T .-.cash Marlo.et
(I) I (4) (5)
i !
i !
!
!
(2)
A.
O.:scription of Assets
(including trust assets}
Jncom= uring I::ss v ;,c al end
rcp-0rting period of reporting period
D.
Transactions during reporting pe-riod
(lj I (2)
(1) --
r . -----------(2) (3)
· · ··- · ----, ···
103.
Plac 1'(X)" afler each asset
exempt frnm prior disclosure
!Pl COMMON STOCK
104. GDXJ COMMON STOCK
105. MFN COMMON STOCK
!06. CCJ COMMON STOCK
107. CCJ COMMON STOCK
108. NEW GOLD INC. COMMON STOCK
109. NEW GOLD lNC. COMMON STOCK
110. POWERSHARES DB MUL Tl SECTOR
COMMODITY COMMON STOCK
Ill. POWERSHARES DB MULTI SECTOR
COMMODITY COMMON STOCK
112. SOUTHERN COPPER CORP COMMON
STOCK
113. SOUTHERN COPPER CORP COMMON
STOCK
114. US GOLD CORP COMMON STOCK
115. US GOLD CORP COMMON STOCK
116. llN !TED STA TES NATURAL GAS FD LP
117. llNlTED ST A TES NA TllRAL GAS FD LP
Amount Code I
(A·H)
Type (e.g., Value Value Type (e.g .•
div., rent ormt.)
Code 2 Method buy, sell,
(J-P) Code J redemption)
.. j___ -- -
None J T Buy
None J T Buy
None J T Buy
None J T Duy
None J T Buy
None Buy
None Sold
None Buy
None Sold
None Buy
None Sold
None Buy
None Sold
None Buy
None Sold
Date
.mm/ddiyy
9123109
12121109
6122109
1/27109
2/17109
5/4/09
8124109
3118/09
615109
1128109
2/17109
517109
8124/09
4/28109
613109
Value
CoJc 2
(J-P)
J
J
J
J
J
J
J
J
J
J
J
J
J
J
J
Gain
! Code I
(A·H)
B
A
A
A
A
Identity of
buyer/seller
(if private transaction)
J?INANCIAL DISCLOSURE REPORT
Page 11of13
Name of Person Reporting
JONES Ill, JOHN E.
Date of Report
05/12/2010
D VII. INVESTMENTS and TRUSTS - in,·ome, value, transactions (Includes those of spouse and dependent children; SU pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
t lm·<-mil·GJ1n.C1Jdcs. A ·"'S1.000 or less-(Sec Columns BI and D4) F =$50.00t • St00,000
2. Valu\: Codes J =-·S l 5,000 or kss {Sc...- Culumns Cl :.tnd 03J N =$250.001 • SS00.000
Pl =S25.00Q.fXll • SS0.000.000 ). Value Mdh1x:I ('();.ics Q""Appratr.31
iScc Column C2) V "'B\)1.1 Value
ll =S 1.00 t • Sl.500 C ··S2,501 • Ss.ooo G =$100.001 • Sl.()(Xl,000 Ill =Sl.000.001 • Sl.0()(),IJOO K c ·SIS.O<lt - $50,000 L =$50,001 · SI00.000 0 =$500.00 I • S 1,000,000 Pt =$1.000.00t · SSJ){)().000
P4 ==More than S50.000,000 R "-Cost {Real I; state Only) .S=Asscssment
V =Other W =Esltmntcd
D =$5,001 · $1 S.000 ll2 =More than SS,OOO,nOO M -s I 00.00 I • $250.000 P2 ·- 5,000.001 • $25,000.000
l o=Ca-;h MarkL1
E •.S 15.00t · SS0.000
lhte of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 12of13 05i12i2010JONES Ill, JOHN E.
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (/ndicateparto/Report)
PART VII - INVESTMENTS AND TRUSTS
ITEM 29 BANCO SANTANDER TS A NAME CHANGE FROM JTEM 31 SOVEREJGN (SOY) ON THE 2008 REPORT.
ITEM 53 GLD COMMON STOCK IS A NAME Cl-IANGE FROM ITEM 57 STREETTRACKS GOLD TR GOLD - COMMON STOCK ON THE 2008
REPORT.
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 13of13 JONES III, JOHN E. 0511212010
IX.CERTIFICATION.
I certify that all information gi.-en ahove (including information pertaining to my spouse and minor or dependent c.hildren, if any) is accurate, true, 1rnd complete to the best of my knowledge and belief, and that any information not reported was withheld because ii met applicabk statutory provisions pnmitting non-disclosure.
I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have be.en 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"ULLY FALSIFU:S AND CRIMINAL SA!liCTIONS (S U.S.C. app. § 104)
FILING rNSTRUCTJONS
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
