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Joseph M Hood Financial Disclosure Report for 2010

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  • 8/3/2019 Joseph M Hood Financial Disclosure Report for 2010

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  • 8/3/2019 Joseph M Hood Financial Disclosure Report for 2010

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    FINANCIAL DISCLOSURE REPORTPage 2 of 10

    N a m e o f P e r s o n R e p o r t in gH o o d , J o s e p h M .

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

    I ll . N O N - I N V E S T M E N T I N C O M E . C R o ~ o , , i n g individualandspouse; seepp. 17-24 of filing instructio~t;.)A. Fi l e r s Non-Inves tm ent Incom e

    ~ (No reporta ble income.)O N E non~invesDnentD A T E SO U R CE A N D T Y PE

    2.3.

    4.

    I N C O M E(yo u r s , no t sp o use s )

    B . S p o u s e s N o n = I n v e s t m e n t In c o m e - If you were married during anyportion of the reportingyear, complete thi~ section.(Dol lar am ount not required ercept for honorar ia . )

    N O N E (No reportable non-investment income.)DA T E S O U R C E A N D T Y P E

    1.2.3 .4.

    IV . REIMBURSEMENTS - tratttportatlon, Iodglng, food, entertainment.( Includes those to spot t~e a nd dependent chi ldren: see pp. 25 -27 of f i ling ins lruct ion.~ . )

    N O N E (No reportable reimbursements.)S O U R CE DA T E S LOCATION

    1.2.3.4.5.

    PURPOSE ITEMS PAID OR PROVIDED

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    iame of Person Report ingF I N A N C I A L p a g e 3 o f I 0 D I S C L O S U R E R E P O R T [ f lo o d . Joseph 5 1 .V . G I F T S . a n e t , d o , , h o . , o , o ., ~ , o ~ , e o , d d e p e , d e n , children; x e e p p . 2 8 - 3 1 of filing itt~tructiott,.)

    N O N E ( N o reportable gifts.)SOURCE DESCRIPTION

    1 .2.3.4.5.

    D a l e o f Repor t05/05/2011

    VALUE

    V I . L I A B I L I T I E S . a n c t ~ d e . ~ t h o . , e o f . ~ p o ~ - ~ e a n d d , p , n d ~ n t c h i t d r e ~ ; . , e , p ~ , . J Z - J ~ of filing itt, tructio~t~.)N O N E ( N o reporta ble liabilities.)

    CREDITOR DESCRIPTIONI.2.3.4.5.

    VALUE CODE

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    FINANCIAL DISCLOSURE REPORTPage 4 o f 10

    N a m e o f P e r s o n R e p o r l in gf lo o d . J o s e p h M .

    D a t e o f R e p o r t05 /05 /201 I

    V I I . I N V E S T M E N T S a n d T R U S T S - i n c o , , e . , . o h , e , tratt~actionx (Includex those of spo~e and dependent children; xeepp. 34-60 of filing in.structlott~.)N O N E (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 Income dur ing( including t rust a~ets) reporting period(I ) (2 )Place "(X)" after each asset A m o u n t : T y p e ( e . g .,

    exempt from prior disclosure Code I div., rent,( A - H ) o r i n t . )

    Gross value at endof reporting period(1) : (2)Value Value

    C o d e 2 M e th o d( . I - P ) C o d e 3(Q-w )

    T r a p _ s a c t io n s d u r i n g r e p o r t i n g p e r i o d

    (i ) (2) (3) (4)T y p e ( e . g ., D a t e Val ue Gain I d e n t i t y o fbuy, sell , m m / d d / y y C o d e 2 Code I buyer /sel ler

    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 )

    I. Fif th Thi rd Bank , Lex ing ton , KY Check ing A Interest2. Fif th Thi rd Bank , Lex ing ton , KY Check ing A Interest3. Fif th Thi rd Bank , Lex ing ton , KY Check ing A Interest

    (x )4. Me t l i fe In vs In s Co In s Prod N o n e

    J T

    5. Lincoln Nat ional L i fe Ins Co N o n e J6. ING Dires t - (X ) A Interest J7. F tdeh ty In ve stm en ts -:~ N on e M8. - A s h l a n d In c N e w A Div idend J

    T

    T

    T

    T

    9. -F ide li ty Mon ey M arke t A Div idend1 0 . - F i d e l it y L e v e r a g e d C o m p a n y S t o c k F d A D ividen d1 1 . -F ide l i ty L everaged Com pan y S tock F d .1 2 . -F idel i ty China Reg ion A Div idend1 3 . -F idel i ty China Reg ion N o n e1 4 . -F ide l i ty D ividen d Grow th F un d A Div idend1 5 . -F ide l i ty D ividen d Grow th F un d

    1 6 . -F ide l i ty D ividen d Grow th F un d1 7 . - F i d e li t y H i g h I n c o m e A Div idend

    J

    JTT

    Sold(part)T

    Sold(part)" l-

    Sold( p a r t )Sold( p a r t )

    11/09/10

    01/21/10

    08/24/10

    11/09/10

    J

    J

    I. In co m e G a in Co d e s: A = $1.000 or less B =$1.001 - $2500 C =$2.501 - $5.000 D =$5.001 - $15.000( ~c Co l umns BI and D-l ) I~ =$50.001 - $100.000 G =$100.001 - $1.000.000 I II = $ 1. 00 0. 00 1 - $ 5 .0 00 .0 00 H 2 - M o re th a n $ 5 .0 00 .0 00

    2. Va,ue Cod~.~ J -$15.000 or less K -$15.001 - $50.000 L =$50.00 1 - $1 00.000 M -$ 100.001 - $250.000(Sc C olu m ns C I a nd D J) N =S 250.0 01 - $ 50 0.00 0 O =$500.001 - $1.000,(K10 PI -$1.000.001 - $5.000.000 P2 -$5.000.001 - $25.000.000

    P3 "$25.000.001 $50.000.0~0 P4 =Moru than $50.000.0003. Va.u,: Method Codc~: Q - A p p r a i s a I R =Cos t ~ Rca! E s ~ a l Oni.v) S -Assessmen t T -Cash M arkc l(9 c Colu mn C2) U = Bo o k Va ! u V = O I h c r W = Es t im a te d

    E -$15.001 - $5 0 . 0 0 0

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    FINANCIAL DISCLOSURE REPORTPage 5 o f 10

    N a m e o f P e r so n R e p o r t in gl lood , J o s eph 5 I .

    D a t e o f R e p o r t05/05/2011

    V I I . I N V E S T M E N T S a n d T R U S T S - inco,~,. ,.atu,, tratt~action.s (Includes those of spou.se and dependent children; seepp. 34-60 of fillng instructiotts.)D (No reportable incotne, assets, orON E 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 g( i n c l u d i n g t r u s t a s s e t s ) reporting period

    (i )Place "(X)" after each asset A m o u n t [ T y p e ( e . g .,exempt from prior disclosure ( ode I I div., rent,(A-H) :: o r i n t . )

    G r o s s v a l u e a t e n dof repor t ing Ix ~ r i od(1) (2)V alue V alue

    Code 2 M e th o d( . I - P ) C o d e 3( Q- w)

    Transactions during reporling period(i ) (2) (3) O) (s )

    T y p e ( e . g ., D a t e Val ue Gain I d e n t i ty o fb u y , s e l l , m m / d d ~ f y C o d e 2 Code I buyer/seller

    redemption) ( . I - P ) ( A - H ) ( i f p r i v a t etrallga clion)

    1 8 . - F i d e li t y H i g h I n c o m e Sold 11/09/10 J( p a r t )1 9 . - F i d e li t y H i g h I n c o m e Sold I 1/10/10 J

    20 . -F idel i ty Selec t M ater ia l s Por t fo l io A Div idend K T21 . -F id e lity S m a ll Ca p Sto c k Fu n d N o n e I T22 . -F idel i ty Va lue Fund A Div idend J T23 . -F id e lity V a lu e Fu n d So ld 11/09/10 J( p a r t )24 . - Jan us O verseas F un d A Div idend J T25 . - Jan us O verseas F un d Sold 10/11/10 J( p a r t )26 . -F ide l i ty Con t ra F u n d A Div idend J T Bu y 11/09/10 J27 . -F idel i ty Dynamic St ra teg ies Fund A Div idend J T Bu y 11/09/10 J28 . -F idel i ty Selec t Gold Fund A Div idend I T Bu y 12/01/10 J29 . -F ide l i ty Advi sor M idCap I I F un d N o n e J T Bu y 11/09/10 J30 . Fideli ty IRA N o n e K T31 . -F ide l i ty Cash R eserves A Div idend J T32 . -F idel i ty Leveraged Com pany Stock Fd A Div idend J T33 . -F id e lity L eve rag e d Co m p an y Sto ck Fd S o ld 11/09/10 J( p a r t )34 . -F idel i ty China Reg ion A Div idend I T

    I. In co m e G a!rt Co d es: A = $1.000 o r !css B =$1.001 - $2200 C =$2.501 - $5.000 D =$5.001 - $15.000(Scc Colu mns BI and D4) F = S50.001 - $100.000 G -$ 100.001 - $ 1 .000.000 HI -$1.000.001 - $5.000.000 [12 -More than $5.000.000

    2 . Va ! uc C o d e s J - $15.000 or lcs~ K -$15.001 - $50.000 L -$50.CO I $ 100.000 M -$ 100.001 - $250.000tSce Colu mns CI and D3 | N =$250.001 - $500.000 O = $500.001 - $1.000.000 PI =$1.000.001 - $5.000.000 p2 =$ 5.000.0OI - $25,000.~300

    P3 -$25.000.001 - $50.0~0.000 P4 =More than $30.000.0003 Va : uc Me th o d C o d e s Q - A p p r a i s a l R =Cost (Real Estate Only) S -Assessmen t T =Ca.~ h Mar ke t(Scc Colu mn C2) U -Book Va lu e V = O t h e r W - E s l im a t c d

    E =$1 5 . 0 0 1 - $5 0 . 0 0 0

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    FINANCIAL DISCLOSURE REPORTPage 6 o f 10

    Name of Person Reporl ingllood. Joseph 5I.

    D a t e o f R e p o r t05/05/2011

    V I I . I N V E S T M E N T S a n d T R U S T S - income, , .alue, t rat t~act ions ( Includes those of xpo~tw and dependent chi ldren; .see pp. 34-60 of f i l ing instruct ions. )N O N E ( N o reportable incotne, c~qsets, or transactions.)

    D ~ s c r i p ti o n o f A s s e t s Transactions during reporting period( i n c l u d i n g t r u s t a s s e t s )

    Place "IX)" af ter each assetexempt f rom pr ior d isc losure

    Income dur ingreporting period(i ) ( 2 )

    A m o u n t T y pe ( e . g .,Code I div., rent,(A-H) o r i n t . )

    Gross value at endof reporting periodO) (2)V alue V aine

    C o d e 2 M e th o d( J - P ) C o d e 3( Q-W )

    (1 ) (2) (3) (4) (5)T y p e ( e . g ., D a t e Val ue Gain I d e n t i ty o fbuy, sell , mm/d d ~y C o d e 2 Code I buyer /sel ler

    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 )

    35 . -F idel i ty China Reg ion36 . -F idel i ty China Reg ion37 . -F ide l i ty D ividen d Grow th F un d38 . -F ide l i ty D ividen d Grow th F un d39 . - F i d e li t y H i g h I n c o m e40 . - F i d e li t y H i g h I n c o m e41 . -F idel i ty Selec t M ater ia l s Por t fo l io42 . -F idel i ty Smal l Cap Stock Fund43 . -F idel i ty Value Fund44 . -F idel i ty Value Fund45 . - Jan us O verseas F un d

    A Div idend

    A Div idend

    A Div idendN o n e

    A Div idend

    A Div idend

    J

    JJ

    Sold( p a n )Sold(p~)

    TSold( P a n )

    TSold(part)

    "1"

    TSold( P a n )

    T

    01/21/10O7/14/IO

    ! 1/09/10

    11/09/10

    11/09/10

    J

    46 . -F idel i ty Dynamic St ra teg ies Fund47 . -F idel i ty Selec t Gold Fund48 . -F ide l ity Advi sor M idCap I I F un d49 . -F ide l i ty Con t ra F u n d50 . Fideli ty IRA #251 . -F idel i ty Dynamic St ra teg ies Fund

    AA

    A

    Div idend J T Bu y 11/09/10Div idend 1 T Buy 12/01110

    N o n e J T Bu y 11/09/10Div idend J T Bu y 1 1 1 0 9 1 1 0

    N o n e K TD ividen d J T Bu y I 1/09110

    J

    J

    J

    J

    1. Incomo Gain Codes:ISCc Co!umns BI and 134)

    2. V a .u c Codes(See Co]u~rtns CI and D3)

    3 V a~ u e Method CodesI.%:c Co.umn C2)

    A =$1.000 or lessF -$50.001 - $I00.000J -$15.000 or lessN -$250.0OI - $50~.000P3 -$25.000.0~ I - $50.000.000Q -AppraisalU = Bo o k Va lue

    B -$1.001 - 1; .500G -$ 100.001 - $1.000.(Xg0K -$15.001 - $50.000O=$500.001 - $ IR =Cost (Real E~iat Only)V - O t h e r

    C -$2.501 - $5.000I I I -$1.000.001 - $5.000.000L -$50.(X)1 - $100.000P I -$ 1.000.001 - $5.000.000P4 -More ~h an $50.000.000W = Es t im a te d

    D -$5,001 - $15.000t12 -More than $5.000.000M - $ 100 .001 - $ 250 .000P2 -$5.000.0(I I - $25.0~0.000] " = C z s h Ma r kcl

    E-$15.0OI - $50.000

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    FINANCIAL DISCLOSURE REPO RTPa g e 7 o f 1 0

    N a m e o f P e r s o n R e p o r t in gI lood , J o s eph M .

    D a t e o f R e p o r t05/05/2011

    V I I . I N V E S T M E N T S a nd T R U S T S - i nc o n,~ , v a. ,o , tratt{action.{ (include.s those of .{Fott~e and dependent children; .seepp. 34-60 of fillng instructions.)N O N E (No reportable income, a ssets, or transa ctions.)

    D e s c r i p t i o n o f A s s e t s Transactions during reporting period(including trust assets)Place " (X)" af ter each asset

    exempt f rom pr ior d isc losure

    Income dur ingr e p o r t i n g p . , . w i o d

    ( i) (2 )Am o unt T y p e ( e . g . ,Code I d i v . , r e n t ,( A - H ) o r i n t . )

    CoGross value at endof reporting periodO) (2)Val ue Value

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

    ( Q-W )

    (i )T y p e ( e . g .,buy, sell ,

    r e d e m p ~ i n n )

    ~) (3) O)D a t e V alue Gain I d e n t i ty o fmm/d d ~y C o d e 2 Code I buyer/seller

    ( J - P ) ( A - H ) ( i f p r i v a t et ~ansac t i o n)

    52 . -F idel i ty Selec t Gold Fund53 . -F ide l i ty Con t ra F un d

    54 . -F ide l i ty Advi sor M idCap I I F un d55 . -F idel i ty Cash Reserves56 . - F i d e li t y L e v e r a g e d C o m p a n y S t o c k F d57 . - F i d e li t y L e v e r a g e d C o m p a n y S t o c k F d58 . -F idel i ty China Reg ion59 . -F idel i ty China Reg ion6 0. -F idel i ty China Reg ion6 1. -F ide l i ty D ividen d Growth F un d62 . -F ide l i ty D ividen d Growth F un d6 3. - F i d e li t y H i g h I n c o m e6 4. - F i d e li t y H i g h I n c o m e6 5. - F i d e li t y H i g h I n c o m e6 6. -F idel i ty Selec t Mater ia l s Por t fo l io6 7. -F idel i ty Smal l Cap Stock Fund6 8. -F idel i ty Value Fund

    A Div idendA Div idend

    N o n eA Div idendA Div idend

    A Div idend

    A Div idend

    A Div idend

    A Div idendN o n e

    A Div idend

    J

    J

    J

    J

    J

    JJ

    T Bu y 12/01/10T Bu y 11/09/IOT Bu y 11/09/10TT

    Sold 11/09/10( p a r t )T

    Sold 01/21/10(p~ )Sold 07/14/10( p a r t )

    TSold 11/09/10(p~ )

    TS o ld 04/13/10( p a r t )Sold 11/09/10( p a r t )

    TTT

    J

    J

    J

    IJ

    I . Income Ga in Codes : A =$1.000 or ]cxs B -$1 . 001 - $2~ 00 C =$2.501 - $5.000(Sec Colu mns BI and D4) F -$50.001 - $100.000 G -$100.001 - $1.000.000 HI -$1.000.001 - $5.000.000

    2 . Va I uc C o d e s J -$15.000 or less K -$15.001 - $50.000 L -$50.001 - $100.000tS,: CoIurnn~ CI and D3) N =$ 250.001 - $500.000 O = $500.001 - $1.000.000 PI -$1.000.001 - $5.000.000

    P3 -$25.000.001 - $50,000.000 P4 -More than $50.000.0003. Va lue Me th o d C o d e s Q -Appra isa l R =Cost (Real Estate Only) S - A ~ c s s m c n t( S c Column C2) U =Book Va lu e V - O l h c r W =E.stlmalcd

    D =$ 5.001 - $ 1 5 . 0 0 0H2 -M ore than $5. 000. 000M =$1 00.001 - $250.000P2 =$5.000.001 - $25.000.000T = C ~ h M a r k e t

    E = $ 1 5 . 0 OI - $50.0OO

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    FINANCIAL DISCLOSURE REPORTP age 8 o f 10 Iame of Person Report ingl lo o d , J o s e p h M . Date of Report05/05/201 I

    V I I . I N V E S T M E N T S a n d T R U S T S - income, ralue, transactions (Include.,; those of spott~e and dependent children; seepp. 34-60 of filing instructiot~.)D N O N E (No reportable income, a ssets, or transactions.)

    De~ription of Assets I n c o m e d u r i n g( i n c l u d i n g t r u s t a s s e t s ) r ~ o r t h ~ g p ~ r i n d

    O) [ (2)A m o u n t I ( e . g . ,Place "(X)" after each asset Code I T y p ~exempt from prior disclosure div., rent,(A-H) o ~ i n t . )

    Gross value at endof reporting periodO ) ( 2 )V a lu e V a lu e

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

    ( Q - W )

    (I)Type (e.g.,buy, se l l ,

    redemption)

    T r a o 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) (S )D a t e V alu e G a in Identity of

    m m / d d ~ y Code 2 Code I buyer/se l le r( J - P ) (A-H) (if private

    ~ansaction)

    6 9 . -Fidelity Value Fund7 0 . - J a n u s O v e r s e a s F u n d A Dividend T

    Sold(part) 1/09/10

    1. Incom e Gain CodtLs: A =$1.000 or le ss B = $1.001 - $2.500 C ~ $ 2.501 - $ 5.000 D =$5.o01 - $15.000(Scc Colu mns BI and D4) F -$ 50.001 - $ 100.000 G -$ 100,001 . $ 1.000.000 HI =$1.000,001 - $5.000.000 112 =More than $5.000,000

    2. Value Codc.s J -$15.000 or less K -$ 15.001 - $ 50.000 L -$ 50.~ OI - $ 100.000 M = $100.001 - $250.000(See Colu mns CI and D3 ) N =$250,001 - $500.000 O -$ 500 .0 01 - $ 1.0 00 .0 00 P l = $1 .00 0,0 01 - $ 5.0 00, 000 P2 =$5.000.0~1 - $25,000.000

    P3 -$ 25.000,001 - $50.000.000 P4 -M o re than $ 50.000.0003 . V a lu e Mc~ hod Codc~ Q - A p p r a i~a I R =Cosl (Real Es la~Only) S -Arsc ssmcn l Y =C.x~h Markcl( ~ c c C o l u m n C 2) U - B o o k V a l u e V = O l h c r W = E s l lmal cd

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    FINANCIAL DISCLOSURE REPORTP a g e 9 o f 1 0

    Name of Person Report ingl l o o d . J o s e p h M .

    Date of Report05/05/201 I

    VIII . ADDITIONA L IN FORMATION OR EX PLANATIONS. (Indlcate part of report.)

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    FINANCIAL DISCLOSURE REPORTPage 10 of" 10

    Name of Person Report ingl l o o d , J o s e p h M .

    Date of Repor t05/05/20 ! I

    IX. CERTIFICATION.1 c e r t i f y t h a t a ll i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a 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 l d r e n , i f a n y ) i s

    a c c u r a t e , t r u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n ) i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a t u t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .I f u r t h e r c e r t if 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 s v h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e ~ i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q ., 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

    S ig na t u r e : S/ Jo s e p h M . H o o d

    N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U LL Y F A L S IF I E S O R F A I L S T O F IL 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 I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . 1 0 4 )

    C om m i t t e e on F i n a n c i a l D i s c l os u r eAdmin i s t r a t ive Of f i ce of the Uni ted Sta tes Cour t sSui te 2 -301O n e C ol u m b u s C i r c l e , N . E .W a s h i n g t on , D . C . 2 05 4 4


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