Julia S Gibbons Financial Disclosure Report for 2010

8/3/2019 Julia S Gibbons Financial Disclosure Report for 2010

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AO IORev . 1 /2011FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2 010Report Required by the Ethics

in Go~ernment Act of 1978(5 U.S .C. app. ,~ 101-I11)

1 . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r st , m i d d l e i n i t i a l ) 2 . C o u r t o r O r g a n i z a ti o n 3 . Date o f Report

GIBBONS, JULIA S. US COURT OF AP PEALS SIXTH CIRCUIT 05/02/2011

4 . T i t l e ( A r t i c l e I II j u d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ;magis t ra te judges ind ica te fu l l - o r par t - t ime)U.S. CIRCUIT JUDGE (ACTIVE)

7 . C h a m b e r s o r O f f ic e A d d r e s s970 FEDERAL LBUILDING167 N M AIN STREETMEM PHIS, TN 38103

: 5a. Report Type ( c h e c k a p p r o p r i a t e t y p e )] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. O n t h e b a s i s o f th e i n f o r m a t i o n c o n t a i n e d i n t h i s R e p o r t a n d a n ym o d i f i c a t i o n s p e r t a i n i n g t h e r e t o , it i s , i n m y o p i n i o n , i n c o m p l i a n c e

w i t h a p p l i c a b l e l a w s a n d r e g u l a t io n s .

R e ~ i e s v i n g O f f ic e r D a t e

6 . R e p o r t i n g P e r i o d01/01/2010

to12/ 31 / 2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followet Complete all parts,checking the NONE box for each part where you hav e no reportable information. Sign on last page.

I . P O S I T I O N S . (Reporting individual only; see pp. 9-13 of filing instructions.)~] (No reportable positions .)ONE

POSITION NAM E OF ORG ANIZATION/ENTITY

2.

3.

4.

5.

I I . A G R E E M E N T S . (Reporting individual only; see pp. 14-16 of filing instructions.)N O N E ( N o reportable agreements.)

DATEI.

2.

3.

PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTP a g e 2 o f 1 0

N a m e o f P e r s o n R e p o r l i n gGIBBONS, JULIA S.

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

III. N O N - I N V E S T M E N T I N C O M E . t R e p o . i n g individualandspouse; seepp . 17 -24 o f f i ling ins tructions .)A. Fi ler s Non -Inves tme nt Income~] (No reporta ble incom e.)ONE non-investment

DATE SOURCE AND TYPE INCOME( y o u r s , n o t s p o u s e s )

B . S p o u s e s N o n - l n v e st m e n t I n c o m e - If you were m arried daring any portion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)D ~o reportable income.)ONE non-investment

DATE SOURCE AND TYPEI. 2010 STATE OF TN - SALARY AS D ISTRICT ATTORNEY GENERAL2. 2010 SHELBY COUNTY - COUNTY SUPPLEM ENT AS D ISTRICT ATTORNEY GENERAL3.4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment.(Includes those to spouse and dependent children; see pp. 25-27 of fil ing instructions.)

~ (No reportable reimbursements.)ONE

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDEDI. FREEDOM FORUM 2/18-2 /20 /2010 NASHV ILLE, TN M OOT COURT TRANSPORTATION, LOD GING,

MEALS2. UNIVERSITY OF 9/17-9/1812010 KNOXVILLE, TN M O O T COURT T R A N S P O R T A T I O N , LODGING,TENNESSEE MEALS3. H AR V AR D UNIV ER SIT Y 1 1/ 15 -1 1 /1 7/ 20 10 CAMBRIDGE, MA MOOT COURT TRANSPORTATION, LODGING.MEALS4.5.


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FINANCIAL DISCLOSURE REPORTPage 3 o f 10

Name o f Pe r son Repo r t ingGIBBONS, JULIA S.

Date of Report05/02/201 I

V . G I F T S . a , c ~ u d o s ~ o ~ o , o ~ o ~ , ~ , a a , p ,n a , , t children x e e p p . 2 8 - 3 1 of filing instructions.)N O N E ( N o reportable gifts.)

SOURCE DESCRIPTIONI.2.3.4.

5.

VALUE

V I . L I A B I L I T IE S . a n ~ , t e s t h o ~ , o S s p o , ~ , , ~ a e p , ,a , , t ~ h i t a , , ,; ~ , ~ ~ , ~ , . 3 2 - 3 3 of filing instructions.)[~ N O N E ( N o reportable liabi li ties . )

CREDITORI. U.S. BANK CREDIT CARD2.3.4.5.

DESCRIPTION VALUECODEJ


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N a m e o f P e r so n R e p o r t i n gGIBBONS, JULIA S.

D a t e o f R e p o r t05/02/2011

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 co me , v a lu e , t ran sac t i o n s ( In c lu d e s t h o se o f sp o u se a n d d e p e n d e n t ch i ld re n ; se e p p . 3 4 - 6 0 o f f i l i n g i n s t ru ct i o n s .)N O N E (No reportable income, assets, or transactions.)

D esc r i p t i o n o f As 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 ) r e p o r t in g p e r i o d

O) (2)P l a c e " ( X ) " a f te r e a c h a s s e t A m o u n t T y p e ( e . g .,exempt from p rior d isc losure Code I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(1) (2)Value Value

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

( Q - W )

O)T y p e ( e . g .,buy, se l l ,

r e d e m p t i o n )

T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d(2) (3) (4)

D a t e Va lu e Gainm m /d d/y y Co de 2 Code I

(J-P) (A-H)I d e n t i t y o f

buyer/seller( i f p r i v a t et r a n s a c t i o n )

I. IRA-EQUITABLE LIFE ANNUITY-EQUIVEST GUARANTEED INTACCOUNT

2 . IRA-EQUITABLE LIFE ANNUITY-EQUIVEST GUARANTEED INTACCOUNT

3. SUNTRUST-MEMPHIS, TN

A I n t e r e s t K

A Interest K

A InterestFEDERAL BLDG. FEDERAL CREDITUNION ACCOUNTSTATE OF TN 401(K )

Interest

- REGIONS BANK A In te res t J7. - FIDELITY PUTNAM FUND A Div idend J8. IRA ROLLOVER RETIREMENT PLAN

9. - AM ERICAN FUNDS: INVESTMENTFUND OF AMERICA1 0 . - JOHN HANCOCK FDS: GREATERCHINA OPPORTUNITIES FUNDII. - IVY FDS: GLOBAL NATURALRESOURCES FUND1 2 . - EATON VANCE FDS: DIVIDENDBUILDER FUND1 3 .

A Div i dendNotreNone

A Div idend

TSoldSoldSold(part)Sold

02/26 /1011/19/1002/23 /1005/07/10

JJ

J

J

A

A

A

A

1 4 . - HARTFORD M UTUAL FDS: NoneHARTFORD CAPITAL APPRECIATIONFUND1 5 . - FRANKLIN FDS: FRANKLIN A Div idendTEMPLETON M UTUAL DISCOVERYFUND1 6 . - HENDERSON IN T E R N A T ION A L A Div idendOPPORTUNITIES FUND

I. In co m e Gain Co d es: A =$1,000 o r less B =$1,001 - $2 ,500 C =$2,501 - $5 ,000 D :$5,001 - $15,000(See Columns B I and IM) F -$50.001 - $100,000 G = $1 00.0 OI - $1.000.0 00 HI = $1 .00 0.00 1 - $5.00 0.0 00 H2 =M ore tha n $5.00 0.00 0

2. Value Codes J $15 ,000 o r le s s K =$15,001 -$50.000 L =$50,001 - $100.000 M =$100,001 - $250,000(See Columns C I and D3) N =$250.001 - $500,000 O = $5 00 .0 01 - $ 1,0 00 .0 00 PI - $1 ,0 ~0 .0 01 - $ 5.0 00 .0 00 P2 =$5.000,001 - $ 25.000,000

P3 =$25,t:O0.001 - $50.000.000 P4 =More than $ 50.000.0003 . Value Method Codes Q =App ra i sa l R =Co~l (Real/s ta le Only) S =As~cs~.mcnt T =Cash Marke t

t s e e Column C2) U =Book Value V =Other W = E . - , t im a ~ c d

E =$15,1)01- $50,000


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N a m e o f P e r s o n R e p o r t in gGIBBONS, JULIA S.

D a t e o f R e p o r t05/02/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f i l ing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C.Description of Assets Income dur ing Gross value at end( including t rust assets) reporting period of reporting period

(l) (2) (l) (2)Place "(X)" after each asset Amoun t T y p ~ ( e . g ., Va lu e Va lu e

exempt f rom pr ior d i sc losure Code I div., rent, Code 2 Method(A-H) o r i n t . ) (J-P) Code 3( Q-W)

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


T ran s a c t i o n s du r i n g r e po r t i n g p e r i o d

(2) (3) (4)D a t e Va lu e Gain

m m /d d/y y Co de 2 Code 1(J-P) (A-H)

(5 )Identity of

buyer/ sel ler( if private

transaction)

1 7 . - EATON VANCE FDS: G REATER INDIA NoneFUND1 8 . - AM ERICAN FUND: CAPITAL W ORLD A DividendGROW TH & INCOME FUND1 9 . - IVY FDS: ASSET STRATEGY FUND A Dividend

J

J

J

T

20 . - VIRTUS MUTUAL FDS: A Di v i d e ndALTERNATIVES D IVERSIFIER FUND21 . - ING FDS: GROW TH & INCOME FUND A Div idend J22 . - PIONEER FUND: PIONEER FUND A Di v i d e ndCLASS A M/F23 . - CO N V ERG Y S CO RP - S TO CK None

J

J

T

T

24 . - SUNAMERICA 2015 HIGH A Di v i d e ndW A T ERMA RK FU N D25 . - REGIONS FDIC CASH ACCOUNT A l n t e r e s t

J

J

TT

26 .27 .28 .

29 .

30 .

31 .

32 .

- CITIGROUP INC-STOCK

- FEDERATED M DT SMALL CAPVALUE FUND A- PIONEER CULLEN VALUE FUND A

None

None

A Dividend

J

J

TT

Buy(add l )Bu y(add l )Sold(par t)Sold(par t)Sold(part)

02/22/I 003/I 7/1004115/I0

! 04/19/10

04/26/10

J

J

J

J

J

A

A

A

33 . - ING EM ERGING COUNTRIES FUNDCL A None

I. In co m e Gain Co d es: A =$1,000 o r less B =$1.001 - $ 2 , 5 0 0 C =$2,501 - $5 ,000 D =$5.001 - $15,000(S~ Columns BI and IM) F ~$50.001 - $10O.000 G =$100,001 - $1.000.000 HI =$1,000.001 - $ 5,1)00.000 H2 =More than $5.0~0.000

2. Value Codes J ~$15,00~ or less K =$15,OO I - $50.000 L -$50,0~ I - $ 100.000 M =$ 100,001 - $250.000(See Columns CI and D3) N -$250.001 - $500.000 O =$500.I)01 - $ 1,000.000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $ 25,00~,000

P3 -$25.000.001 - $50.000.000 P4 =More Ihan $50 ,0~0,0003 . Value Method Codes Q =Appra i~ l R =Cost (Real Estate Only) S =As~ssmcnt T =Cash Marke t

( .See Colum n C2) U =Book Value V -Olhc r W =Es t imat ed

E =$15,0~1 - $50,000


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D a t e o f R e p o r t05/02/201 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, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

D esc r i p t i o n o f As 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 ) r e p o r t i n g p e r i o d

(l) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure Code I div . , ren t ,(A -H) or in t . )

Gros s v a l u e a t e ndo f r e po r t i n g p e r i o d(i) (2 )

V a lu e V a lu eC o d e 2 M e t h o d(J-P) C o d e 3

( Q - W )




(2) (3) (4)D a t e Value G a i n

m m / d d / y y C o d e 2 Code I(J-P) (A-H)

(5 )I d en t i t y o f

b u ye r / s e l l e r( i f p r i v a t e

t r a n s a c t i o n )

34 .35 .

36 .37 .38 .39 .

40 .41 .42 .43 .44 .

- E HOUSE C HINA HOLDINGS-STOCK None T Buy 01115/10(add l )Buy 02/23/10(add l )Sold 03/08/10(part)Sold 03/09/10Buy 04/27/10Buy 04/30/I 0(add l )Buy 05/07/10(add l )Sold 07/22/10(par t)Sold 107/27/10(part)Sold 08/02/10(part)Sold 09/01/10

J

J

J

J

J

J

J

J

JJ

J

A

A

A

A

A

A

45 .

46 .

47 .

48 .

49 .

50 .

Bu y 10/15/10 J

- FIRST TRUST HIGH INCOME LONG/SHORT FUND- FREDS

A Di v i d e nd

A Di v i d e nd

Bu y 12/03/I 0(add l )Buy 12/13/10(add l )

T Bu y 09/30/I 0

Buy 02/26/10

J

J

J

J

Sold 04/I 2/10 J

I. Income Gain Codes: A $1,000 or l e s s B =$1.001 - $2 ,500 C =$2,501 - $5 .000 D =$5,001 - $15 ,00 0( s e e Columns BI and IM) F =$50.001 - $100.000 G =$100,001 - $1.000.000 H 1 =$1.000.0OI - $5.000.000 H2 =More than $5.000.000

2. Value Cod es J =$15.000 o r less K =$15.001 - $50.000 L =$50,001 - $100.000 M =$100,001 - $250.000(See Columns CI and D3) N -$ 25 0,0 01 - $ 50 0,0 00 O = $5 00,0 01 - $1,0 00.0 00 PI =$1.000.001 - $5.000.000 P2 =$5,000,1)01 - $25,000,000

P3 =$25.000.001 - $50.000.000 P4 =More than $ 50,000,0003 . Value Method Codes Q =Apprai,.al R =Cost (Rea l Esta te On ly) S =Assessm en t T =Cash Marke t

~ se Co lu m n C2) U =Bo o k V alue V O t h e r W =E:,t imat cd

E =$15,001 - $50,000


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N a m e o f P e r s o n R e p o r li n gGIBBONS, JULIA S.

Date of R e p o r t05/02/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of f i l ing instructions.)[ ~ ] NONE(N o reportab le incom e , a sse ts, or t ransa ct ions . )


CI ) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure C o d e I d iv . , ren t ,(A -H) or in t . )

Gros s v a l u e a t e ndo f r e po r t i n g p e r i o d(I) ( 2 )

V a lu e V a lu eC o d e 2 M e t h o d(J-P) C o d e 3

( Q -W )

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



(2) (3) (4)Da t e V a l u e Gain

m m /d d /y y Co de 2 Code I(J-P) (A-H)

(5 )I d en t i t y o f



51 .52 .

53 .

Buy 08/10 /10 JSold 10/19/10 J A( p a r t )S o l d 10/27/10 J A

54.

55 .56 .57 .

-MOTOROLA None Bu y 03/16/10 JBu y 03118/10 J

(addl)Sold 07/20/10 J A( p a r t )Sold 08 /19/10 J A

58 .

59 .

60 .61 .62 .

- FORD MOTOR None Bu y 03/29/10 J

Bu y 04/06110 J(addl)Sold 04/29/10 J A( p a r t )Bu y 08/06/10 J(addl)S o l d 10/14/10 J A

63 . - WENDYS/ARBYS

64 .

Dividend Bu y 08 /18 /10 J

Sold 11/16/10 J

65 . -OSHKOSH TRUCK CORP66.

None Buy 09/27/I 0 JSo ld 10/25/10 J

67. - BANK OF AMERICA A Dividend J Bu y 10/20/10 J

I. In co m e Gain Co d es: A =$1,000 o r less B =$1,001 - $2 .500 C =$2,501 - $5 ,000 D =$5.001 - $15.000(See Column s B I and D-I) F =$50,001 - $100.00O G =$100,001 - $1.0~0,000 HI =$1,0~,001 - $5.000,000 H2 =More than $5,000.000

2. Value Codes J =$15,0~O or less K -$15,001 - $50.0~0 L =$50,001 - $ 100,000 M =$ 100.001 - $250,000(See Columns C I and D3) N =$250.001 - $500.000 O =$500,001 - $1,009.000 PI =$1,000,001 - $5,000,000 P2 =$5,000,0~1 - $ 25,000,000

P3 =$25.000.001 - $ 50,000,000 P4 =More than $50,000.0003 . Value Method Codes Q =App ra i sa l R =Cost (Rea l Esta le On ly) S =Asse ssm en t T =Cash Marke t

(See Column C2) U =Book Value V =Othe r W =Estim ate d

E =$15,0~1 - $50,000


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FINANCIAL DISCLOSURE REPORTP a g e 8 o f 1 0


D a t e o f R e p o r t0 5 / 0 2 / 2 0 1 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 .c o , .e , , , u l u e , t r u n s u c t i o . s (Includes those of spouse end dependent c h i ld r e n ; s e e p p . 3 4 - 6 0 of filing instructio- - -1 N O N E (No reportable income, assets, or transactions.)


(i) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g .,

e x e m p t f r o m p r i o r d i s c l o s u r e C o d e I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(i) (2)

V a lu e V a lu eC o d e 2 M e t h o d

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


r ed emp t i on )


(2) (3) (4)D a t e Value G a i n

m m /d d/y y Co d e 2 Co d e I(J-P) (A-H)

( 5 )I d en t i t y o f



68 .

69 .

70 .71 .72 .

- FINISAR CORP No ne

Bu y 10/28/10 J(addl)

Bu y 1 0 1 2 2 1 1 0 J

Bu y I 1/01/10 J(addl)Sold 12/01/10 J A( p a r t )Sold 12/07/10 J B

73 . - RS G LOBAL NATURAL RESOURCES None J T7 4. - OR AC LE S YSTEM S None J T

75. AXA EQ UITABLE LIFE INS CO A I n t e r e s t J T

76 . AXA EQ UITABLE LIFE INS CO A I n t e r e s t K T

77 .

Bu y 11117/10 J

Bu y 12/31/10 J

78 .

79 .80 .81 .

82 .

83 .

I. In co m e Gain Cod es : A =$1,000 o r less B =$1.001 - $2.500 C =$2.501 - $5 ,000 D =$5,001 - $15.000(See Columns BI and I)4) F =$50,001 - $10~,000 G =$100,001 - $1,00O.00~ HI =$1.0~),001 - $5.0~0.000 H2 ~More th an

2 . Value Codes J -$15,000 or less K =$15.0~ 1 - $ 50 ,0~ 0 L -$50 .001 - $ 100 .0~ M =$ 100,001 - $2{ Se e Co lu m ns C I a nd D3 ) N = $2 50 ,0 01 - 5 50 0,0 00 O =$500.001 - $1,000,0~0 PI =$1,000,091 - $5.000,0~0 P2 =55.000.001 - $25.090.000

P3 =525,000,001 - $50,009.000 P4 =More than $50,000.0~03 . Value Method Codes Q =App ra i sa l R -Cost (Real Estate Onlyl S =Assessment T =Cash Markc l(Sc Colunm C2) U =Book Value V Other W =Es t imat ed

E =515.001 - $50.04~


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N a m e o f P e r s o n R e p o r t i n gGIBBONS, JULIA S.

D a t e o f R e p o r t05/02/201 I

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. andicate part of report.)PART VII, LINE 5: 401 (K) ACCOUNT HAS BEEN SPLIT INTO TW O LINES, #s 6 AND 7 .PART VII, LINE 7: ON THE 2009 REPORT THE ONLY INVESTMENT LISTED FOR THE 401(K ) W AS REGIONS BANK. HOW EVER, FUNDS W EREINVESTED IN FIDELITY PUTNAM FUND AND THIS W AS INADV ERTENTLY OM II-IED FROM THE 2009 REPORT.


10/10

FINANCIAL DISCLOSURE REPORTPage 10 o f I0

Name o f Pe r son Repo r t ingGIBBONS, JULIA S.

Date of Report05/02/201 I

IX. CERTIFICATION.I c e r t if y t h a t a l l i n f o rm a t i o n g i v e n a bo v e ( i n c l u d in g i n f o rm a t i o n p e r t a i n in 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 , if a n y ) i sa c cu r a t e , t r u e , an d com p l e t e t o t h e be s t o f my kn owledg e an d be l i e f , an d t h a t an y i n fo rm a t i o n n o t r ep o r t ed was ~v i t hhe l d becau s e i t me t ap p l i c ab l e s t a tu t o ryp rov i s i o n s p e rm i t t i n g n o n -d i s c l o s u r e .1 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 wh i c h h a v e b e e n r e p o r t e d a r e inc om p l i a n c e w i t h t h e p r ov i s i o n s o f 5 U . S .C . a pp . 5 0 1 e t . s eq . , 5 U . S .C . 7 35 3 , a n d J ud i c i a l Con f e r e n c e r e g u l a t i o n s .

Signa tur e: S] JULIA S. GIBB ONS

NOTE: ANY INDIVIDUAL W HO KNOW INGLY AND W ILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT M AY BE SUBJECT TO CIVILAND CRIM INAL SANCTIONS (5 UoS.C. app . 104)

C om m i tt e e o n F in a n c i a l D i s c l o s u r eAdm in i s t r a t iv e Of f i c e o f t he Un i t e d S t a t e s Cou r t sSu i te 2-301One Co lum bus Ci r c l e , N.E .W ash ing ton , D .C. 20544

Julia S Gibbons Financial Disclosure Report for 2010

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