Re\'.

-

ll'rf PORTA.NT

POSITfON NAME OF QRGANIZA.TION/ENTITY

.4010 112010

FINANCIAL DISCLOSURE REPORT

FORCALE DARYEAR2009

L Person Reporting (last name, tirM, middle initial} 2. Court or Organization

Smith, Jr.. Charles L Nonhcm District of Alabama

4. Title (Article [II judges inJicate active or ser..1or !:.t.Jl\l!., 5a. Report Type tcheck appropriate type) magistrate judge indicate full· or pan-tiint:J

D Norrun1tio:i. Date

U.S. District Judge - Active D Initial [Z] Annual

Sb. D Amended Report

D J-mal

Report Requir.ed by the Ethics in Government Act of 1978 (5 USC. app . ..H 10!-l/IJ

3. D2te of Report

0511312010

6. Reporting Period

01101/2009 to

12131/2009

7. Chambers or Office Addren 1'i. On cbe basis of the ioform2tion contained in this Report and :any modifo:ations pe-rt.aining there-to, it is in my opinion, in rompli3nce

United States Courthou>c Y.ith applicable laws and regulations.

JOI llolmes Avenue Huntsville, Ala. 35801

Re"·ie""inJ?: orficer Date

NOTES: The instructio11.1 uccompan_ring this form must befollo"'eiL Complete a/I parts,

cher ing th•• .'liONE box for each part ><'heri' you ha1•e 110 reportable information. Sign on last page.

I. POSITIONS. !Reporting indfri.Juat on I': see pp. 9-/J ojjiling in\lruaions./

D NONE (No reportable posiiions.)

I. Administrator

2

3.

4.

5.

JI. AGREEI\:fENTS. (R porn"n.g indfriduaf on )'; \Upp. 14-lri "/filing insrrucrinns.)

D NONE (No reportable agreements.)

PARTIES AND TERMS

I. 1981 Judicial Retirement Fund of Alabama (Retirement fund of former crnployc-r. State of Alabama}, no contrul

Probate estate of

Ul

2. 1981 Madison County, Alabama Retirement Fund (Retirement fund offonner employer, Madison County). nn contr<>I

3.

Smith Jr., Charles L.

SOURCE

SOURCE LOC\TION

---- -----·----

ITEMS

ANO TYPE

Name of Persoo Heporting Date of RL"port FINANCIAL DISCLOSURE REPORT

Smith. Jr., Charles L. 05il 3/2010 Page 2 of JO

}JI. NON-INVESTJ\1ENT INCOJ\-1E. {Reporrin)lindfridual and spouse; supp. /7-U a/filing insrrucrions-)

A. Filer's Non-Investment Income

D NONE (No reportable non-investmellf income.)

SOllRCE AND TYPE INCOME (yours. not spouse's)

State of Alabama Retirement $38,676.4 I I. 2009

2.2009 l\ladis,m Cmu1ly, Alab,ni:t Rdiremenl $12,144.00

3.

4.

H. Spouse's Non-Investment Income - I/you""" married during an_r portion ofrhe reportini; year, comp/ere this sectiort.

(Doll:.J.r amount not requirt>d e.u.. eplj Jr lk.moraria.)

D NONE (No reportahle non-investment income.)

I. 2009 Madison Cow1ry, Alabama Commission· Salary

2.

3.

4.

IV. REl1\1BURSEMENTS - lodging,Jaod, enlrrtain1"eNL """"P"rfarion,

[ZJ NONE (Nu reportable reimbursements.)

I.

2.

J.

4.

5.

PURPOSE PAID OR PROVIDED

DESCRIPTION

-·--···-------------

CREDITOR

VALUE

VAI IJE CODE

Name of Person Reportirig l>ate of Report FINANCIAL DISCLOSURE REPORT

Page 3of10 Smith, .Jr., Charles L. 05/IJ/2010

\l. GIFTS. (lnd1uks those to spuuse and dependent 1..·hildrot; see pp. lS-31 of filing ilutrucrion.'i.}

NONE (No reportable gifts.) [ZJ SOURCE

I.

2.

3.

4. -··-

5.

\TJ. L Ji\. BIL ITJ ES. rlnclud,,, thiue nf .•pouu and dependent children: '"'pp. 32-33 •>f filing instructions.)

D NONE (Na reportable liabilities.)

DESCRIPTION

I. llank of A m<rica Credit Card

1.

J.

4.

5.

8

---i

'•n·- m -dun··.g .. , . .- ... .. n:p'.1rtmg

(2) \2)

D

I J

'

i I

i

C.: ... 1 s

I.

A.

Type 1.e g .. buy. sell,

rcd<>mption)

Ntme of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT Page 4of10 Smith, Jr., Charles L. 05/IJ.'20!0

VI I. I N\TE STI\'IENTS and TR us TS - incom<, value, transaclions (lnclud s thou of spouse and dqwndtnl children; SU pp. 3-1-60 of filing in:uruction ..) 0 NONE (No reportable income. assets, or transactions.)

-T ran achons dunng n.·pi.1rtmg period 1- -c-<jro!'s \3luc al t""n<l

(I)

Dc::aiption of Assets ·

{including trust assets) rcportmg peno(! <.1 f (I) (IJ

penoJ---+--'

. 4)-T---:-----iI ill m i (. (5)

IPlace "{X)'" aftcr each asscl \'alueAm"u11l Gain c .. d. 2 buyer/seller

Identity ofD.Heimrndd ,,.

Type (eg, \'alu(' Value : Code I Co<l:ildiv., rent.. Code 2 kthodexempt from prior disck.surc- ,(A-II) (J-P) (A-Hl (ifprivoteor inl.) tl-P) Cvu< 3

IQ-WJ transaction) - -- - --- -----··--

U.S. Savings Bonds-Series F.F A Interest J T

2. Regions F manc ial Corp. B DividenJ J T

3. Citi Bank 1-.foney Fund A lntf�rc t M T See Part VIII

4.

5.

Meadowbrook, ltd. 4.75% Int. in limited partnership

Fann· f\ladison County. Ala. D

None

Ren! (CrnpJ

J

Pl

II

w

6.

7.

9.

10.

II.

12.

13.

14.

15.

16_

fann Rental House: Madison Count)'. Ala

Crown Life Ins. - Cash Value

Apple Computer, Inc.

Clorox Co.

§ 457(b) Deferred Comp Account:

-- American Century Value Fund

-- Fidelity Contr.ifund

-- Nationwide t-='lxed Account

-- Nationwide Large Cap Growth Fund

-- S & P 500 Index Fund

f\ladison Co. AL Retirement Fund

D Rent (House) l w

A Dividend J T

Nunc K T

A Dividend K T

A Dividend K ·1

c Dividend K T

c Interest l T

A Dividend l .,

A Dividend J T

B Interest K T

111. Am Family Broadcasting Corp (Retiremerit} None J T

----· ---

l. lncom Gain C0tks A =SJ .000 or less H St.001 - S .SO<J C =S2.501 - lS,L'(l{J 11 -S'i.!JOI - $15 .IXX) =115.IJ\JI -150,00-0

( e Columns BI and 04) t- ""S50,li01 - SHMJ.000 G =Sl00,0{11 -Sl.lJOO.OIJIJ 111 =SJ.OOU.t.l'JI ·S.5,!)IJ0.000 11.2 . fore than S5.!X1'J.fl(}I}

2 Value Cod J =l 15,000 ur ks:ii K -=!15JXH - 150.t}(W) L -.:S50Jn1l -1!00.000 M "1100,001 - 1250.00tl (Sec Colwnns Cl and 03> N =$:!50,001 - $500,000 o -ssou.001 - sr,000,00-1 r1 s J.()(li).Oot . S5.000.0(lfl P2 "'S .00().001 - $25.or.O.OIJO

PJ "S25.ll00,ll01 · !'O.U00,000 f4 =M:..•H,' thJ...I )0,000,000 J Value Method Q -=Apprals.al R =('nq !Re.ti bu11:: Onh l S -=As'>c'.>- ma;t

(See CulwnTI C:?:; L' '-Uvvk: \'J..!uc V ber v..: E 111n:it..:i.1

I

c D

14)

!

i

!

:

I i\muunl Type (1:.g .. I Code I . div • rent.

(()-W)

N1me of Pr....,n Reporting Date of Report FINANCIAL DISCLOSURE REPORT Page 5 of IO 05/1312010Smith. Jr., Charles L.

VII. INVESTl\-IENTS and TRUSTS -income, .. a1u,, rransactilm • 11nc1ud;s thou ofspouu and d'P"""""' c11;1dren; supp. u-60 of filing instructions.) .

D NONE (No repurtable income. assets, ur transactions.)

A. B. Descnprion of Assets i Income during Gross value al enJ Trans.actiuns t.lunng reporting period 1

(including trust a-.sct5) I reporting peri(-.J o:;; ortingpe: ';d-- j-- _ r------ - _

(21 (i) (2) -Tcii1 (I) (5) Place "(X)" alter each asset Valur: Value Type (e _g.1 Date Value Gain ldentiry of

Cndc kthod I buy, sdl, mmldd/yy CoJe 2 Code I bu) riselkr !

exemp from pnor disdo:;urc

IA-HJ redemption) iJ-P) (. -II) (if private or int.) ll-P) Cod< 3 transaction)

_L_______

18. Fix Corp Intl., lnc. Nunc J T

19. Sanmina-SCI Corp None J T

20. PACT (Ala. Prepaid Affordable College A Interest K T Tuition plan l

21. Scholars Choice (Section 529 Plani - :-.;,., Control

22. Easy Street Investors Corp.:

23. -- Davis Selected - large Cap - Money Manager Acct

24. -- Johnson & Johnson

25. -- United Healthcare Corp (formerly Unitedhealth Group Inc)

26. -- Pepsico, Inc.

27. -- First Horizon Nat. Corp (fcmnerly FirstTenn Nat.Corp)

28. -- Cisco Systems, rnc.

29. -- Exxon Mobil Corp

30. -- Alliant TechSystems. Inc.

31. -- St. Joe Comp:my

32. -- United Technologies Corp.

33. -- Lowe's Companies, Inc.

34. -- Goldman Sachs Group, Inc.

B Dividend

None

J T

K T

I

----- ---

l )[!C.)mC Gain rodes (See Columns Bl anJ 04)

2. Value- Codes (Sec Coh.i.mm Cl and 03)

J V3Jue Method CoJ\:'S. (Sec Colwnn C2J

A ""S 1.000 or kss f =S50,00l - SI00,000 J =SI 5,0fJC1 or less N =)250.001 · Sl00.000 PJ =IZ,.V<KJ,IJ\11 - Wl.@).900 Q""Apprai -11 U =Book. V ah•"=

0 •lt.001 · S2.51"' G =SI00,001 -s1,ooo,no·:i K ==$15.001 - S50,GVO l) =i.50{1.00l -}l.fi(lo).(!(10

R · Cu t lR\·al t..s1ati.: Uni> I \' ...-{)th(T

C =·S?.)01 - SH.IOO HI =SJ.OtlO.OOi - S5,000.000 L =150.001 · ll• J.(>(K> Pl l.OO<J.'JUI - ll.000.000 P4 •More ch.in llt\£ 10.UIXl

\V =E"ttm.lted

D0Sl,(l()l -Sll.OOO

H2 =Mort" than S5.000.000 M -==$FJO.O<H - $250.000 r2 =S5.0CJ0,001. S.15,000,000

i

'"' :00:. . mu .. 1r;por11 -p ;d pc(�id

- r--- -I

151.

Page 6 of IO

Oate of Report Name of Penou ReportinFINANCIAL DISCLOSURE REPORT

Smith, Jr Charles L 05/J 312010

VII. INVESTI\'IENTS and TRUSTS -inco,.,e, value. 1ran.•actwns 11ndude• thou of spuuse and d•pendm1 children; .•uPP- 14-60 of filing instructions..>

D NONE (No repurtablc income. assets. or tra11sac1iuns.)

35.

36.

37.

38.

39.

40.

'41.

42.

43.

44.

45.

46.

47

48.

49.

50.

A Description of Assets

t including trust a!tSeLS)

Place "(X)" after each ass<t exempt from prior dis.closure

-- Lincoln National Corp.

-- Principal Financi31 Group

-- Adtran, Inc.

-- Calamos Strategic TR Fund

-- Calamos Monoy Manager Accc>un!

-- Sprint NexTel Corp.

-- Schwab Charles Copr New

-- Symrnlewn Corp.

-- Cardiac Science Corp.

-- Alpine Total Dynamic

-- (alamos Global Dynam ic

-- Calamos rmemat1on;.tl

-- Colonial BancGroup Im:.

-- !Shares MSCJ Canada Index

Education IRA No. I:

-- CitiBank NA Bank Dep<»it (formerly SDMoney Funds)

.. : . ( 1 -· :-

!porting

:Amount Tn>t:' (e. .. ' Value Value CoJc I div .. rent_ Code 2 Method tA-H) or int)

A Interest

fJ-Pl

J

Code 3 (0-Wl

T

\I) Type 1.e g,buy, sell.

redemption.I

Sold

Sold

[luy

D. Transaclioru durrng ltporting pcnoJ

I (2)Uate mm ddyv

04/J 7i09

10 J 5!09

05/21109

c))Value

Code 2{J-P)

K

J

K

t (i)! Gain Identity of ' Code I i buyer/seller

(A-I!) t1fpri\'ate _ _!_ __ - ·-- transact11)n}

D

A

-- Cuc:. Cob Bottling Co. A Di,·idend J T

I. Income Vain L'fJd s lScc Ci::itunws HI and l>4J

2. Valut Cv<l(°j (See Columm Cl and 0.11

]. Valuo! Metho'ld Code: iScc C·Jl:un.n (' }

/\. =11.000 or less

f"' =-·SSO.{K11 -SlOO,l)()1J

J -$15.000trr kss N ==S250.001 . S5UO.POO

P) •$25,liOIJ.OOI -150.i JO.OOO Q =Appr21s:il

l" =BV<.1)1: \'afue

B ""'! 1.00 I - S2.50U

G •$100.001 · Sl,U00,000K •SI I O<.ll -$50,00I)

0 :S501J.0(ll - S l.OOOJ100

R =-Cu:.t (Rt" I E !Jlt.' Onl:- .1 V =Otha

C "'S2.501 - SS.•YJO

Ill ··Sl,OIJ0,001 · S5,000,0u(I

I. =S5tl,0;}1 - S!00,000

Pl •Sl.OO<l,0111 - Sl.000,(IOO P4 ° for< lhll1 $50,000.0\•) S =A 'ies ment W =l::.st1matt>J

D •ll.WI -Sll.00\J

112 cMort: lhan S5,0fHj 00() M =1100.0Ul · S150.i>OO

rz =S5.uoo.001 -s2 .noo.ooo

- ---·----1 E· l5.00l -S50,0< l I

B I

__ _J_ _ _

I - 11-P��ll

i 168 --·-

i

I

I I '

-Type lt:-.g .• Identity of

bup:r/selltr

Namt of Pnson Rtporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 7 of IO 05113/2010Smith. Jr., Charles L.

VII. IN\'ESTMENTS and TRUSTS -income, vatUL, rransacriuns <Includes rhoseofspouse and dependent children: see PP. .14-oo nffiting insrrurtions.>

D NONE (No repurtab!e income. assets. or transactions)

- i--A. c.

(5i(1)

bu}. sell, redemption)

D1 Tr:msJ..:llvns during reporting ri1Jd -Dcscriptmn of As.c:cts [nco!Ile- during <Jr0ss value a1 end

( 1f pnvalc transaction)

(mduding tru.<;:l as ct. .. ) of reporting pt:riod

1.11 (2) I reporting period

1 :

I (4)\3)d) (2) (2) 1Phu.:e "(X)" atkr eJ.\;h a5$C:1

C'lempt from pnor disclosure Vabe

Code 2 Value

Method

; Type (e.g,

div.• rent.

Date Value Garn mdd)'} Cod< 1 I C<•d< I

Arnou:1lCode I i IA-H) !or ml) i(J-P) Code 3

<Q-\\') L -

- --"·

52. -- Adtran, Inc. A Dividend J T

53. -- Overstock.Com, Inc. Nonie J T

54. Education IRA N(.\. 2:

55.

56.

57.

58. 59.

60.

61.

62.

63.

64.

65.

66.

-- Legg Mason Partners (formerly S!l Aggressive Growth funds)

-- CitiBank NA Bank Deposit (fonnerly SB Money Funds)

-- Adtran, Inc.

-- Overstock.Corn. Inc.

Education IRA No. 3:

-- Legg Mason Panners (formerly Sl:l Aggressive Growth f und5)

-- CitiBank NA Bank Deposit (fom1erly SH Money Fund.5)

.. Adtran, Jnr.

-- Overstock.Com. Inc.

Fducation IRA '.\lo. -1:

-- Legg Ma,,rn Panners (torme1ly SH Aggre ivt.: GhW•th F und.s)

-- CitiBank NA Hauk Deposit (formerly SE! Money Fundsi

A Dividend

A Interest

A Dividend

None

A DiviJenJ

A lntt>rest

,\ Dividend

Nu11(!

A D1vidond

A [nterest

J T

J T

J T

J T

J T

J T

J T

J T

J T

J T

[ 67. -- Adtran. Inc. A Dividend J T

-- Overstock.Com. Inc.

-· · ·-· . -----·

None J T

-

!

I

I. lncornc Gain Codes: (See Column:- Bl aod 04)

2. Value Cod {See Columns Cl and l>Ji

3. Vahll· Me1hod C\ _ks

(S<:e CL•li.:1ru) C )

A -11,000 Jf less

f =S50.001 - S,lOCt,000 J =115,Uf)l/ or le$S N ;S2 0.lMll S)OOJ.)i}IJp) =! l.000.t.il. 10.000,0Q<J Q A.pprais .. I V =81,._,k V<i..!uc

B =Sl.001 -Sl}t)(JG -- 100.MI - Sl.U(>l),000 K =11'.(<ll - Sl0.000 I) =S50 ).LIOI. Sl.000,0IXI

k =-(\.1i.1 l cal bta1c OoJy) \'-Ob

C =S1.50 I . SS,000Ill =$1,000,001 -$5,(XJO.tk)OI =$50,001 - SI00.000 Pl =S 1.000.001 - Sl.IJl!U.u\JO P4 =M»rc than S50.00<J,(1(KJ S -"Assessment W-=Es11mdtcd

D =Sl,001 - SI 5.0IJO E =.S 15.lltll - S50.lXl(JIU -:=More than S5,{)IJ\l.tXIO M =SI00.001 -$25/J.1 10

P2 =55.000,001 - S25,01Xl.O(ll)

r =Ci h Market

r· ---

I

75

_____

(I) (2} ii) T 12)

I '

D

m (})

I

·· ..

Name of Ptrson Rtportiog Date of Report FINANCIAL DISCLOSURE REPORT

Page 8of10 05.'l 3i2010Smith, Jr., Charles L.

VII. INVESTMENTS and TRUSTS - income, varue, 1ransacrit>ns anctudes 1ho" of spouse and Jependentchirdren: •u pp. 34-flo offiting instructions.)

D NONE (No reportahle income. assets, or transactiollS.}

A. B.

Desl:ription ofAss.et Income dunng

(including trust assets) reporting period

Place '\X)" after each ass.ct Amount

ex.empt fmm priClr disclosure Code I

(A-HJ

Type (e.g .•

div .. rent.

or int.)

·-------c.

Gross value J.t end Translct11ms during reporting period

of rc-pot1ing period J_ fl) (4) (5)r··--· -Value VJlur: Type (e.g .• Daie Value Gain Identity of

Cod 2 rvtcthud buy, sell, mm!ddl;y Cotk 2 Code I buyer!sellt:rI (J-P) C<.ldc 3 rcdcmpli\1n) (J·Pt IA-H) (ifpnvate

(<)-W) transaction}

69. Coca Cola Bottling Co.

70. eBay. Inc.

71. Rental Property No. 3, Baldwin County, Ala "(Y)"

· · Trust N''· I:

73. ·- Citibank NA Bank Deposit Prngram

74. -- ITC DeltaCom, Inc. - New Issue

-- Franklin Federal Tax Free Income FD Class A (X)

76. Vanguard Age-Based Aggressive Growth (Section 529 Plan)

77. Adtran, Inc.

78. \\!alt Disney (a.:quisition and merger of Pixar into Disney)

?Cl. Lincoln Financial Group (X)

80. Annuity -- Western Nat. Life Ins. Co. (X)

A

A

A

A

A

A

A

A

A

Dividend J

None J

Dividend J

Interest J

None J

Inter st K

Dividend J

Dividend J

Dividend J

Interest K

Interest K

T

T

T

T

T

T

T

T

T

T

T

I I

1 Jn:::ome Gain Codes. A =S 1.000 or less B •Sl.00 1 . $2.500 C ·-SZ,501 . $5.000 D•Sl,001 -lil,tHJO E '"'-115.0nJ. S50,0t)t) (Stt Column:- BI and 04 J F uo.001 .1100.000 G •S!00.001. Sl.'100.0llO HI -Sl.000.001 · S5,000.0C ) 112 ==M•)rc Lb.tn SS.OOQ.000

2. Value Code-; I -Sl5.00Q 0( less K=$15.00i -S50.000 I •$50.001 · $1 00.000 M -! I 00,0<l I S2H1,0'l0 ($i:c Clllumn CI a.n t n:n N S250,00I . SS00,000 0 :=:1500/ICll. SIJ1()0,0.Jtl Pl ·!l,IM>0.001. S'.000.000 P2 =S /JOll,001 - r.? .000,1)()!)

PJ · SZl.000.001 - $50,000,000 P4 •Mo1e than !50,000,0C;J 3 Value kthod Codes Q=Appraisal R :Cost (Rc11.l t.51.:uc Only} 5 =.o\ssc. 'iment

(Sc:e Coh.JJTin C2) 1.1 =Il1:-ok Value V =Other W =Es11m..11c,J

VII, page I

D1tt or Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

05113/2010Smith, Jr.. Charles L.Page 9of10

VIIJ. ADDITIONAL INFORMATION OR EXPLANATIONS. tlnJinu panofReport.)

Part 4. line 3: The increase 111 the value of this assel over the value retkctcd in the 2008 fDR is due to the fact 1hat this is the investment account into which deposited most of the funds she inherited during 2009 from the estJte of her

FINANCIAL DISCLOSURE REPORT Namt- of Person Rt"porting D•te of Report

Page IO of 10 Smilh, Jr., Charles L. 05113/2010

IX. CERTJFICA TION.

I certify that all information gh"en above (including information pertaining to my spouse and minor or dependent children, if a.nY) 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 bonoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. § 501 et. seq., 5 t:.S.C. § 7353, and Judicial Conference regulations.

Signature__

NOTE: ANY INOl\'IDl'AL WHO KNOWINGLY AND WJISULL \" FALSIFIES OR FAILS TO FILE THIS REPORT !\IA Y BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies tn:

Committee on financial Disclosure Administrative Office of the United States Courts Suite 2-30 I One Columbus Circle. N.E. Washington, D.C. 20544