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FINANCIAL DISCLOSURE REPORT Report .eqnired by Etics AO-JO€¦ · FINANCIAL DISCLOSURE REPORT Nme...

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Date ____ _ POSJTlON l OF ORGANlZATIONIE"iTiTY P..RTIES AND 'SPS Report Beqnired by the ;thcs AO-JO FINANCI A L DISCLOSURE REPOR T In Go,:erntent Ac of 1978 Re\'. l/2004 Calenda Yea 2003 (5 u.s.c. opp.ˇ§ 101-111) ] , Pclson Reporting (t nae, First narr.c, Middle inital) TXLER, Jr., \Villiam B 4. Title (Article H: Judges indkate active Ol' .enior st; ll1c&istrat( : dgcs indict fullA o part•me} . C(uit Coun Judge (Active) 7, Chambl. or Offce Addrss P. 0. Box 10127 Greenvi!le, SC 29603 2. Cour, o O:g<'1ition 3. Date of Repor U.S.CA Fourth Circuit C5!IZ!2004 5. ReporTwe (checapprcpriate tpe) 6. Re;o:t::ig Period Q Nomton, 01101/2003 to ( lni,\ 1213!!203 8. O t basis of the iafonation ccntlned in ti Ror and any modifcatons peining theret, it is . i: my opiion, in comliac wt applica'le !aws and reg<latos. If{PORTAN' NOTES; accomnying this form !:ust be follo"·e, Complete all part, chi ng the NONE box fer each par where you hsve iP rportabe informatio. Sign on last page. L POSITIO N S. (Reporg indi\idual only; see p. 9-13 offting intctior.s) !˝˛ NONE " {o repibleposlton:.— 1. Federl Judge Asc;iation 2. Diretor Piem:J Ja.ce Club IL (Rcrrg ir.dividual only; se pp. 14-16 offiling instuctions) A G REE M NT S . NONE - (No reortable agreen1ents.; r. 05100192 State of S.C, Circuit Judge R!eet benef: (see il.A.1)
Transcript
Page 1: FINANCIAL DISCLOSURE REPORT Report .eqnired by Etics AO-JO€¦ · FINANCIAL DISCLOSURE REPORT Nme of Peson R'3ing R, Jr,, Wiliam B ll N ON-JNVS TVENT N COE. (Rpoing individual and

Date ____ _

POSJTlON l'ib.MF. OF ORGANlZATIONIE"iTiTY

P. .RTIES AND 'SP,.JvfS

Report B.eqnired by the ;EthicsAO-JO FINANCIAL DISCLOSURE REPORT

In Go,:erntnent Act of 1978 Re\'. l/2004 Calendar Year 2003 (5 u.s.c. opp. § 101-111)

] , Pcl'son Reporting (Lnst nazHe, First narr.c, Middle initial)

TRAXLER, Jr., \Villiam B

4. Title (Article H: Judges indkate active Ol' .senior status;

ll1ci.&istrat(! : dgcs indicate fullA or part•time}.

C( uit Coun Judge (Active)

7, Chamb l".5 or Office Address

P. 0. Box 10127

Greenvi!le, SC 29603

2. Cour, or O::g<L'1ization 3. Date of Report

U.S.CA Fourth Circuit C5!IZ!2004

5. ReportTwe (checkapprcpriate type) 6. Re;;o:t::ig Period

Q Nomination, 01101/2003

to() lniti,\ 1213!!2003

8. On the basis of the iafonnation ccntJ.lned in this Report and any

modifications pertaining thereto, it is.. i:i my opinion, in compliance

with applica':lle !aws and reg<Jlations.

If.,.{PORTAN'T NOTES; accompanying this form !'::1ust be follo"·et, Complete all parts, checking the NONE box fer each part

where you hs.ve ilP reportable information. Sign on last page.

L POSITIONS. (Reporting indi\idual only; see pp. 9-13 offting instructior.s)

! NONE " {No repi:ntableposltion:..

1. Federal Judges A.ssc;iation

2. Director Piedmo:-J Ja:r.ce Club

IL (Rcpcr:ir.g ir.dividual only; see pp. 14-16 offiling instructions) AGREEMENTS.

NONE - (No reportable agreen1ents.;

r. 05100192 State of S.C, Circuit Judge Re!i:ement benefi: (see ill.A.1)

Page 2: FINANCIAL DISCLOSURE REPORT Report .eqnired by Etics AO-JO€¦ · FINANCIAL DISCLOSURE REPORT Nme of Peson R'3ing R, Jr,, Wiliam B ll N ON-JNVS TVENT N COE. (Rpoing individual and

SOL1KCE ANQ TYPE GRQSS INCOME

SCHJRCE AND TYPE

DESCBIPTIQN SOlJRCE

FINANCIAL DISCLOSURE REPORT Name of Person Re-'03rting

TRAXLER, Jr,, William B

Ill N ON-JNVES TJVIENT JN COME. (Reporting individual and spa use; see pp. 17 ·24 of filing insn11etlons)

A, Filer's Non-Investment fneome

C NONE · (No reportable non·investmemfooorne.)

2003

Date ofReport

05/1212004

(yours, not spouse's)

$39,606.96

B. Spcll.se's Non-Initestment Income - {lfyou wcte married during a.-iyportiot:. o::he re;>:,:ting ;r-ear, p:ease cor;;:p:ete this section, (dollar amount n:it req:..:.'.reC except foT honora.rla)

:J NONE - (No reportable non-invest1nent income.)

J. 2003 University of South Ca:oUna - Salary

IV. REIMB URSEM:ENTS - tr•nsportation, lodging, food, ente:tainment

(Jnclud'!S these to spouse and dependent children. See pp. 25 27 of instructions.)

l.

2.

NONE - (No such reportable reimbursements.)

S.C. Bar Associatiot.

S.C, '!'rial Lav.1ers Association

A:nedcan Board of Trial Advocates

9/4-.S Columbia) SC; federal practice seminar; lodging, transportation

8/7-B Hilton Head Tulmid, SC; speaker; lodging

I !Ill Columbia, SC; awards <linner, =!

Page 3: FINANCIAL DISCLOSURE REPORT Report .eqnired by Etics AO-JO€¦ · FINANCIAL DISCLOSURE REPORT Nme of Peson R'3ing R, Jr,, Wiliam B ll N ON-JNVS TVENT N COE. (Rpoing individual and

smIBCE D:ESCRJPTION

:V:

CREDJTOR DESCRIPTION VAIJ.JE CODE

Nwne of Per.son Reporting

TRAXLER,, Jr., Wimem B

FINANCL L DISCLOSURE REPORT

0511212004

'\1 GIF1 S. (Includes those to spouse ar1d dcper.dent children. See pp. 28< 1 of i:ts::ructio:::s,)

0 NONE (No such reportable gills.) -

l.

'71 I. 11\Bll.ITJES. (Includes those of spouse and depcnd<:nt children. See pp. 32 34 of instructions.) ..

NONE (No reportable Iillbilities.) -

Page 4: FINANCIAL DISCLOSURE REPORT Report .eqnired by Etics AO-JO€¦ · FINANCIAL DISCLOSURE REPORT Nme of Peson R'3ing R, Jr,, Wiliam B ll N ON-JNVS TVENT N COE. (Rpoing individual and

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(1) (2)

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3.

4.

5.

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FINA,.'\CIAL DISCLOSURE REPORT Nam.e of Person Reporting: Page 1of4 TRAXLERi Jr., William 8 05!12/2004

VIL INVESTMENTS and TRUSTS

Iucome during Descripticrr of Asset.' reporting periOO {inch;i:lfag :rust assets)

Place "{X)" llft r ea<:h ass-0t er.empt Amount Tyt>e (e.g. from prior disclos'Jte Code! div, :er:.:. or

(A·H) im.)

LJNONE (N1.> reportable incoO'JI!, assuts, OT transactkms) .

Greenville C-0unty, S.C. None

{l) Leon County, Fla. 115 interes None

{2) Leon Coi.>:: , Frii... None

{3} Le::i::t Cff.:nty, F:a. llS interest None -

Scnoc:i stock {common) A Dividend

6. Am.erkar. Landlease stock (com.mm:) A Dividend

7. Fa.+r.ily SteakhD'.:Ses vfFlorida stock (common) None

8. Fami'.y S:eak:10\<.ses of Florida stock (common) None

Palmetto Bank A Interest

lO. \Vashingtcn Mutual lnvestors Fund IRA A Dividond

l I. \.Vendy's Intemational, Inc. stock (common) A Dividend

12. Motorola stock {common) A Dividend

ll. McDonalds stock {common) A D'vid<::'.d

14. Kellogg's stock {common) A Divid::nd

15. RPM stock (common) A Dividend

16. Home Gck'!, rnc, s k (commor:) None

17. Sun Trust stock (eor:unon)' A :Avklend

Trus: t E Distribution

c. D. Groi>s vhli.te l:t end cf ir«:.sacti;ms du.-i.ng repor.ir.g peri.¢d reporting per'.od

ff not exe t <llsc:osure (2)

Vali:e Value Type (e.g. Date: Valt.<J Co:le:!. ::Vfol!:lcd buy, sell, 1-fomn. '.:oGe2 {J P) Cede 3 :nerger, Day ·P)

(Q·WJ redtmptien)

L s

N w

M w

K w

J T Reinv

J T

I T

J T

K T

J T

J T

J T Reinv

J T Reir.v !

J T Rei:.v

J T Rei:t\f

J T

J T

M T

(4) Gai.."1. Code 1 (A H)

(S) Identity of lYJyer/selkrflfprivatetraiisaciio:i)

- -

.

. - C'-'"

·:fl::"'= w ore !-htr.. S -.Ol . ubto::,;; .'G in Cud , Sl,000 or ;o;; )3·:." _,.,, .'.'.'. - . -' :·s c Ca.lt<rrm Bl arLG D4J ""S5C>,DO:-s;; «YJQ :El""

. . , .· . .

\ ;;h mi.::s· "' S '.5 .COC• c less "'SlS 'OCT-S:SO:O!J_r,; " s v-oo-J S100 enc ':" S HJD OP_ ·,-:;;250 '100.

See Cotumr:: c: ...:n<l 2·3·. N "":;::;coOD·55JC,OOG· ""'S5W 001 l, i r-;-::; _. s1;600.061.ss,oot.' ,nDa &5,oc--0,o;:;·;-$25-,o:x.\O'JL !':. �.Sr>lor .thn.n S5C,ODlJ,-Otx

._, Cost-(l{ aJ Ismt Or,1: : ,., :\sst::ss:m:n: "' Ci.:Sh.'Mtr!:ei_

Otlre '-"2>1ir.i.u:e:.

Page 5: FINANCIAL DISCLOSURE REPORT Report .eqnired by Etics AO-JO€¦ · FINANCIAL DISCLOSURE REPORT Nme of Peson R'3ing R, Jr,, Wiliam B ll N ON-JNVS TVENT N COE. (Rpoing individual and

20.

-

24.

26,

27.

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FINk"ICIAL DISCLOSURE REPORT

Page 2 of 4 Name cf Person Reporting

TRAXLER. Jr., Willi•m B

Dat o: Reµort

05!12/W04

Vll. INVESTMENTS and 1RUSTS

A.

Descriplinn of Assets (iiiduding:t.ist assets)

Pia(<: (X)" af:er c ct. nsset exenipt from prior di ,eforure

19. •vWa.::hovia N'tional Bank accounts

··Greenville County, SC

21. - outh Financial Group, Jnc, ti!ock (cor..mo n) .

22. --Putnam Tax Free mut1al fJrjd

23. -·R:! ions Bank stc;;:k (common)

-·SCANA stock (com..':10TI)

! 25, --Solutia stock(commoo)

.. -Wachovia National Bank stock {common)

-Arr rfcan Landlease stock (rorr.mon}

-Pfizer stock (common} (formerly Pharmacia)

29. --UBS Bartk USA- (forme:ly RMA money market portfolio)

30. -·Wachovia :N'aticnal Bank stock (preferred)

31. ·Mo;isanto stock (common)

i 32. -Carolina First Bank accounts

3). Carolina First Bank accOur.ts

34. Vanguard GrcW';h & Income Pottolio

35. Graw:h Fund of A.merica fRA

36. New Perspe.;;tive Fund IRA

a. Income d.urlng

reporting period

(1)

AmoUl'lt Type (e.g. Cod 1 dh'< rezt. or (A·!!) int)

A Interest

A Dividend

A Dividend

A Divide"d

c. D. Gross value at end cf 7ransiwtiun> dwing repc:ting period reponing per!cd

r.:>t e:temp ii"om

Vnlue V ue Type. {e.g. Date: Va1i.:eCode2 W.et..'>md b'.iy, sell, fvfonth • c.&2 (1-P) Code3 merglilt, Day (J.J>J

(Q-W) redernpticn)

Distrib 3t'20 K

Merger 4/16 K.

Rollover l l/4 J

J T

J T

J T

J T

Gain Identity of Cede I buyerlsc ler (A-I!) (if private

tan'>action)

D

. ""·s:::,oo 1 :Sl5-,00D C: "':Sl-00,001.$·!/10ri100D ·. ;,.;:IJ,OOQ,ilei'l',00•�,D<'": . tC ·.,,.Jvl:.ne fuan $:5..,DIJ ,.OOi.:i K ,_,_s:?;ot1);.$.?L. 1o'o-" Y, ""SlOV,0{1 -SlS::i_,OT},1 D '-" S53G,OOJ- l,O_OD,QOO' n .._ s::.'.J:.:J,001-s:: ,00 1,VJu

C ., A:.:;ir:"s:.: .f:;ncL \'u.;m;

Page 6: FINANCIAL DISCLOSURE REPORT Report .eqnired by Etics AO-JO€¦ · FINANCIAL DISCLOSURE REPORT Nme of Peson R'3ing R, Jr,, Wiliam B ll N ON-JNVS TVENT N COE. (Rpoing individual and

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:

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SL

.

A

F

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D.

(!) (2) ll l.!l&,!;1asure

(2) (3)

914 J

(4) (5)

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n:mger,

FINANCIAL DISCLOSURE REPORT Name.of Person Reporting Date of Report

Page 3 of 4 TRAXLER, Jr., \Vllliam B 05;12/2004

vn. INVESTh1ENTS and TRUSTS

Dl::«:tiptioo of Assets (including tTUSl assets)

Piace "(X)" after each asse! eii:empt from prior disclos:U"Z

37. Bsnknorth Bank acco:.:nt

; JS. 8'.lmmit !\ational Bank accounts

39. General Electric stock (commof:)

4(), AMEX SPDR lndex srock (c='T.on)

41. Am!!':'hrade lRA

42. -Sni::on Gra?hics stock (corr.men)

43. M:IPS Technologies stock{common)

44. uHoneywell stock (common)

l .!5. --Applied Materials stook (common)

46. --Te:am Instrument siock (comm.on)

47. GreenviHe First Bank

48. Honeywell stock (common)

49. BB&T stock (common)

so. Affinity Technologies Group st.eek (eo!'!'"J"J1an)

W'achovia stock (common)

52, RMA h!o:iey farket Portfolio

53 . <li::rosoft stock (common)

, . .. , Home Depot stock (common)

B. :r.come durlng

reporting period

A!t!OWlt Type (e.g. coo. 1 dhi. rent. or (A·R) int)

None

D In:erest

A Di\1dend

A Dividend

A Dividend

A Interes

A Dividend

A Dividend

None

A Dividend

A Dividend

A Dividend

A Dividend

c. Groos 1.ue at em! cf 1.'ni."!Sactionsduring :reporting period re;:iorting period

(!) not exempt from

vn:ue Valu:: 'Iype (e.g.. Pate: V•luo Code }.fethcd bu}'. sell, Month C<>do2 (H) Ccde3 Day (J·P)

(Q-WJ redemption)

Closed

N T

J T

J T

J T

1 T

l T

J T

] T

i T

Closed 1218 J

J T

; T

Gain Code 1 (A E-'.)

identity of bt:yer/s::l!er (ifprive.te tr.msactior.)

'

lncomilGcin Cr!des ""S LCJ(1 :i:- !e ;;

(Se Columm: B .:md D41 S:Ht.C'Lll-SlOD;cG "'510{\GO;-Sl,QOQ,OO:J -H;-,,,;;:,occ,cc·,.:.. s,000J1-00 :r.:: ""s.1crcthlll'.Ss; 0Qo;ooo

:::.. Vi:":Ll Ct ·::;; :\l5,D0lh:i:-:k.'l.S -"· S1S,001-S5Ci,u0C t = sr:::::::,on: -s::sri,ooo

(S t Cr.1:.:::r,,ns n:'!d :::i;1 ·,,,, S250,fl&>$5Q0,CDtJ $5GO.C·C '.-S: .O:W,Dtlti P: •·'& J)00,CCl $ ,OOC,l.0G P1 ""'$3.0'.l0,00l-$25,00J.O\<: P.l ,., S2 ,O:l'J,fi1H .s:,5q,rl.Kl,Ol'JO ' " Apprnlsal C--0st (Keal 2stt.R 0:-Jy; < A;:se:::sme;.it

Ll ""-Bock Va.'llt Oti1c: '.}.. E:s:imule

Page 7: FINANCIAL DISCLOSURE REPORT Report .eqnired by Etics AO-JO€¦ · FINANCIAL DISCLOSURE REPORT Nme of Peson R'3ing R, Jr,, Wiliam B ll N ON-JNVS TVENT N COE. (Rpoing individual and

58.

159

(l) (?)

-

(l) CZ) (1) (2) (3)

I

(4) (S)

56,

(e.g.

FI ANCIAL DISCLOSURE REPORT Name cf Person Repor:i::g Dlllil of Report

Page 4 of 4 TRAXLE Jr., Wiiliam B 05112/2004

Vil. INVESTl\1ENTS and 1RUSTS

A. B. c. D.

Description of Asset (lncludif1¥ trust tis et )

Incvrr;;O re;::or.ing period

Gm&S value a: end t:f reporth1gperiod

Tr$11S3c6:HJ.i; <i:uing repottiog period

If not exempl from disclosure

Place "(X) after ea;:l: llSSet exempt Vake Va1ue Type (e.g. Date: \1alue ld¢ntityofGaicimy, sell, div. rent. -or

TypeAmowtfrom p'!ior disclosure 1tcmth Codc2 Me:fucdCode 1 buyer/sellerCode2 CW.1

Cod¢$. ""'""' Doyiut.) (J-!1) (If private (J·P) (A·H)(A·HJ redemjltion)(Q·WJ transactkm)

A Dividend55. Pfizer stock (common) I T

A K T Distn"b 312() KSouth Flnancfa: stock (:;.o1:1mon) Dividend

57. L\berty Life .... ,.,.hole life insurahce po:ictes

Frocective Life · \vhole life insura ce ;mlky

J fferson Na ionai Life -who!e life insurance policy

None

N(lne

None

J

J

J

T

T

T

I

-=-. S:: ,OOi S:2. 5:.l0 C ":"'"$ ,;;:01 $;:J-O) fS;:.: ::;m;rrnn..> Bl an.d D4 i . P " c<o61:$10V,OO(t :G. ,,_ s: c.c.:1DSLJG(1,C:OD Hl .,,... ·s:,OOC.00!.·S "D- .o:.ia. H2 ".'·!vk,r:: �'l!i.1·S5,00 .UJC

.1 ""SJ 5,0QO qr jess 1Sx :'.:c::.:::u:L CJ a:i:: .'.: l\ ""' $150.DbV-SSO l,'OOS ·V .,_ S:i00,i)Jl. SLD60,!J00 . p; .""':$:,O C.IJ0l·S5;0:)C·,OOO ?2 S ,t\{!�>,001·$13,00{!,0:Jt;.

p;: - "" ·£2!,QIJ(i,GD !-S.5 • ,oo '.\JfJD P4 S.\-{;in thou S5 ;j0f1C,0C·G Q . /\.;JpDlO : L' "B,ooJc y,; V.-· "' E nr:na:eci

hc;::::i;;·'3a;: C cdes: ·;.. ., SI B D "'$5,00 ·$15.D:JO

See note in Part VJ.1! .-

See note if! Part Vil!

See note in Part Vlll

Page 8: FINANCIAL DISCLOSURE REPORT Report .eqnired by Etics AO-JO€¦ · FINANCIAL DISCLOSURE REPORT Nme of Peson R'3ing R, Jr,, Wiliam B ll N ON-JNVS TVENT N COE. (Rpoing individual and

#15 11!111111lllltiinvest shares.

in Greenville SC. Identification

I realized whole life The pclicies held by Libecy Life were issued in 1962 and 1 %9, t'>:ie pulley held by Prot tive Life

bs:u ran ce Cor.'.panywas issued in 1966, and the policy held by Jefferson :S-atic..'1111 Life Insurance Ccmpan)' was issued in 1972.

in Part Vil, #Si #:2, #iJ. #I4, uutoma:1cal1y g;o to¥lard buying more

In Part vrr, #18- l reveive a proportionate disttbution of inco!::1e and corpus a."'in aily. of ::ust omltted per instru.ctic s.

ln Part Vll, #28-·Phannacia merged with Pfizer.

1n Ps.rt VII, #29-·The RJ\1A !vkmey U!arket ?ortfolio was rolled ov« inro the UBS Bank USA Deposit Account

In Part VH, #56-·This s:o fo the sa e stock whose distribution from a t:'l.:s! fa reflected in #21.

in Part VIl, #5i, #58, #59-Ta.ese items have not been listed previously because I ha<l not known that life insurance policies had an investr.ent aspect to

Fll\'ANCIAL DISCLOSURE REPORT Na.'.!1e of Person Rep01ting Date: of Report

TRAXLER. Jr,, \VilHam B 05/l2'2CD4

0ndica:opmofReport.)VIIL ADDITIONALINFDRi\1ATION OR EXPLANATIONS

In Parts U and IIlAl .. [a:::-, eligible tO':' a lifetime monthlyretireme::.t benefit of e:ppro:ximate1y 18124 of7L3o/., of the salary of a Circuit Judge of South Carc1in<>.. Payrnent began \Vhen I t:.:rned 55 years of age on May l, 2003.

In Part VU, tl-Greenvi!le Co:.:nty, S.C,, total taxable value is $59,205.00.

in fuese companies via dividend reinvestment plans or DRlPs:. The stock dividends

The Trustee is

them. h \'-tas only upon g=.iir:g over this year's instructions (and apparently having missed this part when it was added las: ye ar) t'iat insurance pt>Hcies should be reporte<l as investments,

Page 9: FINANCIAL DISCLOSURE REPORT Report .eqnired by Etics AO-JO€¦ · FINANCIAL DISCLOSURE REPORT Nme of Peson R'3ing R, Jr,, Wiliam B ll N ON-JNVS TVENT N COE. (Rpoing individual and

Date_=s+"/t=z....,,_J o__.tf ___ _

Nan1e of Pcrson Reporting Date of Report FINANCIAL DISCLOSURE REPORT

TRAXLER, Jr., Will'am B 05112/2004

IX. CERID1CATION.

I certify that all information given above (including information pertaining to my spo'.lse and minor or dependent children if,

any) is accurate, trne, and complete to the best of my knowledge and belief; and :1iat a."!y information not reported was withheld because it met app'.icable stamto:y provisions perntltting non-disclosure.

I farther certify faat e&-ned income from outside employment and honoraria and the acceptance of gifts which have been re?orted are in compliance wi!h the provisions of 5 U.S.C. § 501 et seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signatur

?-iOTE: ANY INDIVIDUAL WHO KNOWINGLY AND '\VILFCLLY FALSIFIES OR PAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § l 04)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial DiscloS!lie Administrative Office ofthe United States Courts

Suite 2-301

One Columbus Circle, :S-.E.

Washington, D.C. 20544


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