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FOR THE: SIXTH c .. :Curr
UNITED STATES COURT OF APPEALS
KENTUC!(Y· TENNESSEE·OHIO•MlCHlGAN
CHAMBERS OF
JULIA SMITH GIBBONS
CIRCUIT JUDGE
970 CLIFFORD DAVIS FEO!i;RAI. BUILDING
l67N. MAINSTRti;E;T
MEMPHIS, TN 38103
PHONE; (901) 495·1265
FAX; (901) 495-1270 August 27, 2004 0 -ffl
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Honorable Mary M. Lisi Chair, Committee on Financial Disclosure JudicHl.l Conference of the United States One Columbus Circle, N.E.
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Washington, D.C. 20544
RE: Calendar Year 2003 Financial Disclosure Filing
Dear Judge Lisi:
I am providing the following information in response to your inquiry of August 2 / 2004, concerning my June 2003 financial disclosure.
You requested that I provide the individual assets of the Schwab Institutional Brokerage Trust Account listed as a part of ..
401(k} plan on Part VII, page 1, line 9. I have obtained this information and will provide it, if necessary, but I. do not believe that disclosure is required.
Although the 401 (k} plan is self-directed in the sense that -can decide generally how to invest his assets in t;he plan,
once he has decided to participate in the Schwab Institutional Brokerage Trust Account, he cannot direct the investments within that account. This is a pooled account in the name of the plan in which has a pro rata portion. It is managed by an outside manager, and the na er makes all investment decisions within the account .
my
of no
Hon. Mary M. Lisi 8/27/04 -2-
Of course, I will provide the requested information if the committee believes it necessary. I am hesitant to amend disclosure to include it, however, without specific instructions from the committee after consideration of the above facts. I note
an amendment would involve disclosure of the assets individual participants in the plan who are under
requirements.
that such many other reporting
Sincerely,
JSG:cbm Attachment
>
G,
901 787 0056; AUG-27-04 i2:i7PM; PAGE iSENT BY: WADDELL AND ASSOC!AT Si
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____________ _ Date ____ _
PARTIES
AO-IO
RcY. 1/2004
F1NAl'lCIAL DISCLOSl �iE REPORT Report Required by tile Ethics
iu Govern ;nent Act of 1978
I. Person Reporting ;st name, First name, rvl.iddlc initial)
GIBBONS, JULIAS
4. Title (Article 11! Judges indicate active or senior status;
magistrate judges indicate full- or part-time)
U.S. CIRCUIT JUDGE (ACTIVE)
7. Chambers or Otlice Address q7o l}ifl FEDERAL BUILDING
167-NORTH MAIN STREET
MEMPHIS, 1N 38103
Calendar Year 2003
2. Court or Organ imtion
US SIXTH CIRCUIT CT OF APPEALS
5. ReportType (check appropriate type)
Q Ntimination, Date
Q Initial @Annual Q Final
(5 ll.S.C. npp. §§ 101-111)
3. Date of Report
6/1112004
6. Reporting Period
111/2003
to
12/3112003
8. On the basis of the infom1ation contained in this Report and any
modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations.
Re viewing Officer
IMPORTANT NOTES: The instructions accompanying this form must be fullowed. Complete all parts, checking the NONE box for each part where you have no1.eportable information. Sign on last page. ·
I. POSITIONS. (Reporting individual only; see pp. 9-13 of filing instructions)
NONE - (No reportable positions.)
POSffiON NAME OF ORGANIZATION/ENTITY
1.
2.
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions)
NONE - (No reportable agreements.)
AND TERMS
1.
lJ
:0 n1 0 m -
< m 0
SOURCE DESCRIPTION
arne of Person Reporting Date of Report DISCLOSURE
GIBBONS, JULIAS 6/l li2004
Ill. NON-INVESTMENT INCOwfE. (Reporting individual and spouse; see pp. 17-24 offiling instructions)
A. Filer's Non-lnvestme11t Incom
NONE - (No reportable non-investment income.)
I.
SOURCE AND TYPE GROSS INCOME (yours, not spouse's)
B. Spouse's Non-Investment Income (If you were married during any portio.n - of the reporting year, please complete this section. (dollar amount ·
not required except for honoraria)
D NONE (No reportable non-investment income.) -
SOURCE AND TYPE
L 2003 STATE OF TN-SALARY AS DISTRICT ATTORNEY GENERAL
2. 2003 SHELBY COUNTY - COUNTY SUPPLEMENT TO SALARY AS DISTRICT ATTORNEY GENERAL
IV, REIMBURSEMENTS transportation, lodging, food, entertainment.-
(Includes those to spouse and dependent children. See pp. 25-27 of instructions,)
D NONE - (No such reportable reimbursements.)
I. FIRST Ai'v!ENDMENT CENTER FEB 28-MAR I NASHVIl..LE, TN, MOOT COURT COMPETITION (TRANSPORTATION, -
LODGING, MEALS)
2. BROOKLYN LAW SCHOOL APR 5-7 BROOKLYN, NY, MOOT COURT COMPETITION (TRANSPORTATION, -
LODGING, MEALS)
3. UNIVERSITY OF VIRGINIA SCHOOL OF LAW SEP 25-26 ·CHARLOTTESVILLE, VA, PANELIST ON WOMEN IN THE JUDICIARY (TRANS PORA TION, LODGING, MEALS)
SOURCE
NONE - (No reportable liabilities.)
N:une of Person Reporting Date of Report
GIBBONS, JULIAS 6/11/2004
V. GIFTS. (Includes those to spouse and dependent children. See pp. 2&-31 of instrncticms.)
NON'E (No such reportable gifts.) -
DESCRIPTION
I.
See pp. 32-34 ofinstrnctions.)VI. LIABILITIES. (Includes those of spouse and dependent children.
CREDITOR DESCRIPTION VALUE CODE
l. SALLIE MAE SERVICING CORP. PLUS EDUCATIONAL LOANS K
2. USBANK CREDIT CARD
I.
(3) (4)
-------· ----- -'--------- -·-
FINANC1AL DISCLOSURE REPORT Name of Person Reporting Date of Report
Page 1of3 GIBBON'.:>, JULIAS 6/l l/2004
VII. INVESTMENTS and TR us TS -- income, value. transcations (indudcs those uf' lhe spouse and dependent children. Sec pp. 34-57 offiling instructions.)
A. B.
Income during Description of Assets reporting period
(including tmst assets) (I) (2)
Place "(X)" after each asset exempt Amount Type (e.g.from prior disclosure Code I div. rent. or
(A-H) int.)
DNONE (No reportable income, assets, or transactions)
- · IRA- EQUITABLE LIFE ANNUITY - EQUIVEST A Interest GUARANTEED INT ACCT
2. IRA-EQUITABLE LIFE ANNUITY-EQUIVEST A Interest GUARANTEED INT ACCT
3. PUTNAM VOY AGEB. FUND None ·--
4. SERIES EE SAVINGS BONDS A Interest
5. NATIONAL BANK OF COMMERCE-MEMPHIS, A Interest 1N
6. EV ANS & PETREE 401(K) PLAN (SELF-DIRECTED PLAN)
7. 1) INVESTMENT CO. OF AM. DBA THE B Dividend AMERICANFUNDS GROUP
8. 2) MORGAN KEEGAN MONEY MARKET FUND A Dividend
9. 3) SCHWAB INSTITUTIONAL BROKERAGE A Dividend TRUST ACCOUNT
10. FEDERAL BLDG. FEDERAL CREDIT UNION A Interest ACCOUNT
11. STATE OF TENNESSEE 40l(K) UNION A Interest PLANTERS BANK ACCOUNT
12. SCHWAB VALUE ADVANTAGE FUND A Dividend (MONEY MARKET)
13. OARKMARK SELECT FUND A Dividend
14. WEITZ P AR1NERS VALUE FUND A Dividend
15. WHITE OAK GROWTH STOCK FUND None
16. JANUS HIGH YIELD FUND A Dividend
17. LOOMIS SAYLES BOND FUND A Dividend
18. SCHWAB MONEY MARKET FUND A Dividend
c. D. Gross value nt end of Transactions during reporting period reporting period
(I) (2) (l) ff not exempt from disclosure
(2) Value Value Type (e.g. Date: Value Code 2 Method buy, sell, Month- Code2 (.l-P) Code 3 merger, Day (J-P)
(Q-W) redemption)
K T
K T
K T
J T PARTIAL FALL J SALE
J T
M T
J T
K T
J T
J T
SOLD 1/13 K
J T
SOLD 10/16 J
J T
SOLD 10/1 J
J T PARTIAL 7/17 J SALE
J T
Gain Code I (A-H\
A
A
A
A
A
(5) Identity of buyer/seller (if private transaction)
- ---
SEE NOTE-VIII
SEE NOTE -Vlll
l. Income/Garn Codes: A = $1,000 or less B = $1,001-$2,500 c = S2,50l-$5,000 D = $5,001-$15,000 E = Sl5,001-$50,000
(See Colurrms B 1 and D4) F ·= $50,001-$100,000 G = $100,00!-$1,000,000 Hl = Sl,000,001-$5,000,000 H2 =More than $5,000.000
2. Value Cod s: = $I 5,000 or less K = s15,001-$50,000 L = $50,001-SI00,000 M = $10U,OO 1-$250,000
(See Coiumns CI and D3) N = $250,000-$500,0()0 0 = $500,001-$1,000,000 Pl = s l ,000,001-$5,000,000 P2 = $5,000,00 l-S25,000,000
P3 -- $25,000,001-$50,000,000 P4 =$More ilum $50,000,000
0 .. Value Metbotl Codes Q =Appraisal R = Cosr (Rea! Estate Only) s = 1\ssc:ssmcnt T = Cash/Market
(See Column C:!) u = Rnok Vaine v =Other w =Estimated
.V•A.>J'L>L"U'.J
I
[J
B
(3) (4)
-
,,
E
19.
23.
25.
35.
(J·P}
FINANCIAL REPORT Name of Pcrs<·n Reporting Date of Report
IPage 2of3 GIBBONS, JULIA S 6111/2004
VIL INVESTMENTS and TR us TS - income, value, tronscal ions I includes those of the spouse and dependent children. :>re pp. 34-57 of filing instructions.)
A.
Description of Assets (including trust assets)
Place "(X)" after each assel exempt from prior disclosmc
B,
Income during reporting period
(l) (2)
Amollllt Type (e.g. Code I div. rent. or
c. Gross value al end of rerwrting period
(IJ (2)
ValueValue MethodCode2
D.
Transactions during rcpo1ting period
!f not exempt from disclosure(11
Type (e.g. buy, sell,
(2) Date: Montlt-
Value c,1de 2
Gain Code
(5) !dentity of buyer/;;ellcr
merger, DayCode 3 (A-H) int) (J·P) (A· (if private 1 redemption)(Q·W) 1-1\ transaction)
AXA A Dividend J T
. .
FBR SMALL CAP FINANCIAL FUND None SOLD 4/14 J A20.
SOLD 417None J A21. ARTISAN INTL FUND
SOLD 417 J ANone22. OARKMARK !NTL FOND
24.
1 J ASPDR TRUST UNIT A Dividend
T SOLD 4/17 J AJBERGER MID CAP VALUE FUND A Dividend
CALAMOS GROWTHFUND CL A None J T BUY 4/14 J S EE NOTE-VIII
BUY 10/16 J26.
M UH LENKAMP FUND 27.
28.
29.
30.
NEEDHAM GROWTII FUND
CAL V ERI TAX FREE
MARISCO FOC US FUND
32. JANUS MID CAP VALUE
33. R YDEX JUNO FUND
34.
A
A
None J
None J
Dividend J
None J
Dividend J
None J
T BUY 4/14 J SEE NOTE-VIII
T
T
BUY
BUY
PARTIAL SALE
4/14
10/16
10/16
J
J
J A
SEE NOTE-vm
T BUY 4/14 J
T BUY 4/17 J
T BUY 4/21 J
BUY J
36.
Ul'-.'DISCOVERED MANAGERS BEHAV GRW None J T BUY 7/17 J
MAITHEWS PACIFIC TIGER FUND A Dividend J T BUY 9/11 J
l. Income/Gain Codes: A S 1,000 or less = $1,00J-S2,500 c = $2,501-$5,000 D = $5,001-$15,000 $15,001-$50,000
(See Coiuruns Bl and [)4) f li50,00J -$100,00G G = SlOO,oo l·Sl,000,0 J HJ $1,000,001-$5,000,000 H2 =More than $5,000,000
2. Value Codes: Sl5.000 or less K = s 15,001-$50,000 L $50,00l-SI00,(100 M =SI 00,00 J-$250,000
(See Colurnm CJ and D3J N = $250,000-$500.000 0 = S500,001-S l .000,000 Pl $1,000,00 l-$5,000,000 P2 = S5,000,00 l-$25,000,000
P3 $25,000,001-$50,000,000 P4 SMore than $50,000,000
J. Value ivlethod Codes Q i\ppraisal R Cost IRe;il Estate Only) s Assessment T Cash/Market
(See Coilmm c:n Book Value v =Other w = Es111na1ed
..
F
------·-------·-------------------·
(4)
·- -
I
(l)
fll'L\NCIAL DISCLOSURE REPORT Name of Person R porting Dare of Report
Page 3of3 G!Bl30NS, JULIAS 6/! 112004
INVESTNIENTS and TRUSTS -- income, value, transc:itions (includes those tlfthe spouse and dependent children. See pp. 34-57 of filing insl llctions.)
A. B. c. D.
Description of Assets (including trnst assets)
Income during reporting Jl<lliod
Gross value at end of reponing period
Trnnsactiorc; during reponing period
Ifuot e. empt from di>closure (2)(l) (I) (2)
Place "(X)" after each asset exempt from prior disclosure
37. BUFFALO HIGH YIELD FUND
38. COOKE & BIELER MID-CAP VALUE
39. EATON VANCE FLOATING
40. NUVEEN NWQ MOT.ifl-CAP VALUE
Amount Code I (A·H)
A
A
A
Type (e.g. div . rent. or int.)
Dividend
None
Dividend
Dividend
Value Code2 (J-P)
]
J
J
J
Value Method Code3
(Q-W)
T
T
T
T
Type (e.g. buy, sell, merger, redemption)
BUY
BUY
BUY
BUY
(3){2) Date: Value Month Code 2 Day (J-P)
10/2 J
10/16 ]
10/16 J
10/16 J
Gain Code 1 (A-l-1\
(5) ldelllity of buyer/seller (ifprivate transact ion)
l . TneomeiGain Codes: A = $1,000 or less B = $.1,001-$2,500 C
(Sec Columns Bl and D4) $50,001-$100,000 G = $I 00,001-Sl ,000,000 Hl
2. Value Codes: $15,000 or less K = $15,001-$50,000 L = $50.001-$100,000 M $100,00l-$250,000
(See Columns CI and D3) N = $250,000-$500,000 0 = $500,00 t-Sl,000,000 Pl = Sl,000,00l-S5,000,000 P2 $:5,000,00l-S25,000,000
P3 = $25,000,00l-S50,000,000 P4 = SMore than $50,000,0DO
3, Value Method Codes Q = J\pprais:i I R Cost (Real Estate Oa!y) S =Assessment T = Cash/Market
(See Column C2) ll = Book Vnh1e Other W = Estimaied
FI A1' CIAL T'1SCLOSURE REPORT Name of Person Reporting Date of Report
GIBBONS, JULIA S 611 l/2004
(lndicare part ofRcport.) 'vIII. ADDITIONAL INFORMATION OR EXPLANATIONS
PART VII, LINE 4 3 US SAVINGS BONDS WERE CASHED B • A.."ID THE EXACT DATES ARE NOT AVAILABLE.
PART VII, LINE 8 THERE WAS A NAME CHANGE ON THE MONEY MARKET FUND.
PART VIL LINES 25 THROUGH 29 THESE FUNDS WERE ORIGINALLY PURCHASED IN 2002. ADDmONAL INVESTMENTS \'/ERE MADE IN 2003 AS OF THE DATES SHOWN.
I
Signature
FINANCIAL DISCLOSURE
IX. CERTIFICATION.
I Name of Person Reporting
GIBBONS, JULIA s
Date of Rerm1
6il 1/2004
I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.
I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS 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 Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544