Tom S Lee Financial Disclosure Report for 2009

8/3/2019 Tom S Lee Financial Disclosure Report for 2009

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A O 1 0 I FINANCIAL D ISCLOSURE REPORT R e p o r t R e q u i r e d b y t h e E t h i c sin Government Act of 1978R e v . 1 / 2 0 1 0 I FOR CALENDAR YEAR 2009 ( s U . S . C . a p p . 1 0 1 - 1 t 0I. Person Repordng (last anne, first, middle initial) :L._Court or Orl~anization 3. Dale of R e por tOniteff States DistrictLEE, TOM S. Court, Southern District 5/15/2010of MS

4 . T itle (A rti cle [ 1I j ud ge s in dic ate ac ti ve or s en io r s ta tu s; 5 a. R ep or t T yp e ( ch ec k a pp ro pr ia te ~y pe ) 6. R e por t in g P e r iodmagistxate judges indicate full- or part-dine) ] Nomination, DateSenior United States Dictrict [] ~,itia~ [ ] A ~ u u a , [ ] F i n a ~ 1/i/09 to 12/31/~)9Court Judge5b. [] /~nended Report

7. Cham bers or O ff ice Address 8. On the basis o f th e i nfo rma t i o n co nta i ned i n th i s Rep o r t a nd a nymo di f i ca t i o ns p er ta i ni ng th ere to , i t i x , i n my o p i ni o n, i n co mp l i a nce245 East Capitol Street w i t h a p p l i c a b l e l a w s a n d r e g ~ a l a t i o n s .Suite 109Jackson, MS 39201 R e ~ i e w i n ~ O m c e r l)~te

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

I . P O S I T IO N S . (Reporting individuat only; se pp . 9-13 of riCing~-~NONE ~o reportable positions.)

POSIT~ON NAME OF ORGANIZATION~NTI~~. General Partner Tom $ Lee ~ Is~m~t~d Partn~r.~h~p2.

3.4. " ,: -::

-. ~ ~

..-.~

~ NONE ~o reportable agreement2.)DATE PARTIES AND

~ 2009 State Employee Pension Fund; pension upon retirementage 652.


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FINANCIAL DISCLOSURE REPORT N . . .. . f ~ . . r ~ . . , ~ . p o . , i . =Page2of.~ LEE, TOM S. ]

I II . N O N - I N V E S T ~ N T I NC O M E . (R,~o,i, individuM and spo~e; see pp. 17-24 of filingA. Filers Non-Investment Income~ NONE ~o reportable non-investment income.)

DATE SO~CE AND ~PE INCOME(yo~s, not spousds)12.3.4 .

B . S p o u s e s N o n - l n v e s tm e n t I n c o m e - If you were married during any l~or~ion of the repor~ing year, complete th~()ollt~r atnount not r~-quired except for honororit)

[~] NONE. (No reportable non-investment income.)I )A ~ T E SOURCE AND TYPE

~ 2009 Director - Community Bancshares of MS, Inc.2 .

3 .

4 .

I V .(l.t "IucAs those to spoust" and d~~ndent children: see pp. 25-27 (~fil~g ins~ctions.)

~ NONE (No reportable reimbursements.)~ ~ LOCAFION P~OSE ITEMS PAID OR PROVIDED

1.2.3.4.5


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FINANCIAL DISCLOSURE REPORT N .... ~ e . . . .. R . ~ o . , ~ . : o .... ~,o,,Page3of8 LEE, TOM S. 5/15/2010

[~] NONE (No reportable gifts.)~ DESCRIPTION

2.3,45.

V I . L I A B I L I T I E S . a.~ .,to., a,o,. of,w, ..... a a ~ a , , , a o . , . ~ , o d , o . ; ,o , ~ v . s z - ~ s q . a ~ i , , ~[NONE (No reportable liabilities.)CREDITO_R DESCR|PTION VALUE CODE

1.2.3.4 .5.


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FINANCIAL DISCLOSURE REPORT ~ .... f P . . . .. R , ~ o r , ~ . ,Page4of 8 LEE, TON S. 5/1512010

~ NONE (No reportable income, assets, or Oa nsactions.)

]esc+ip~on of Assets ln~ome d~ng Gros+ value at end Tr~sactioa+ du ring rcpot~ag pe+iod(including uuat amets) repo*~ng period ofrepo+fing ~riodexempt ~om p~or disclosure Code I [div., rent, ~ Code 2 Me~c,d buy, sell, mm/d~ ~ Code 2 Code I b~ ,er/sellerormt) ~ (J-P) Code3 , r~dempfi~) ~ (J-P) (A-H) (if p rivate

ING NQ VAR None J T2Ameri.c~a~::S~-flnd.ia NQ g~ None N T3 Van Kampen Nun~ Opp4 BondMS O Coupon Bond None ~ T fluctu5Eaton Vance NS Fund B D~v. K T6NS Hosp~tat EQ & FACBond A ~n~ _ g T7.Shares New Perspectiv~ None Sel] 3/2 M Dg Shares of CommunityBancshares of MS,Inc. E Div. P1 T

9 .INC NQ VA # . ~ None J T,o. AmerJc.am ~ NQ~ His Hartford VA

IRA.. None M T12Land in Scott Co., MS None K W]U.S.Ser. E. Bonds ~o~e. L T gond.~Phoenix Life None M T Life Ins.~5. Community Bancshares

of MS A Int.~ HisING VA IRA... Accoun.17 Lord Abbot Aff. None Sell 7/2z J A


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FINANCIAL DISCLOSURE REPORT ~ ....fr .....R o p o r , l . gPage5 of 8 LEE, TOM S. 5/15/2010

~ NONE (No reportable income, assets, or transactions.)I)~scrip~on of A~ / Income during G~oss v~u at e~d(indud~g ~st a~) [ rgpo~fing period of re~o~ng pe~od

~ Type (e.g. , [~ (t) (2) (U [ C~) O) C 2 ) ~Place "(X)" after each ~sct i ~ount Value ] VMuc Type (~.g., :. Date i~C~ 6v., rcnk Code 2 ~ Me~odxm~ptfiompri~clos~c buy, sell, :~/d&~ Code2 Cod~ I ~ ~er/sellcr

[ ...... (Q-W) ~I. Alliance MF None Sell 7/24 K D2Ha~tf~dj~,~ NQ None M T Accourt FI~ c.~. ~{~{mING VA IRA...

None K T -AccouNt FI~ c.4 . Franklin Income A Div. J T5 . ABB Limited None J TVK C&S Muni D Div. M T

7 FT Muni A Div. J Tg VK CRS Muni C Div. L TVK EAFE None Sell 3/10 J A

mClaymore Def.

Builder B Div. 1, T~2. ClaTmore Def.E~u~ties A Div, Sell 7/24

~ FT Corp. Strength A Div. L TVK Utility Income B Div. K T

~s Thornburg Incomen,,,~a~ B Div. K T

~6 Matrix Am. First K T Buy 7/27 K17 FT Muni !ns, C Div, K T Buy 3]10 K


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F I N A N C I A L D I S C L O S U I~ r g ] L E P O R T I ~ .... .~ .... a ~ p o r a . :Page 6.. of 8

I[ LEE, TOM S. 5/15/2010

V I I . I N V E S T ~ N T S a n d T R U S T S - ~ ....... ~ , , ~ ..... n~= (Includes thos, of sp ...... d depend~nt children; seepp.~ NONE ~o repoaab& income, ~set~3 or tramaction.)

~. ] ~. l c. D .[)esc~ip~on of A~e~ ~come dung ~ Gross v~ue at end Tr~s~ctio,~ d~ng repo~g(including ~st assets) ~ re~Sng per iod ofrepoai:~g ~odPlaee(X)"a& .....~t ~ount Ty~(eg., ] Value I VMu Type(e.g., ~ Date V~ueexempt ~om prior &sclosute C~e I div rent Code 2 Method buy, sell. am#dd/~ ~ Code 2 ~ Code I buyer/seller(A-H) ~t.) ~I-P) Code3 redemp~0n) (J-P) (A-H) (if private

~ansaction)I . . . . . . . . . . . . . . I . . . . . . . . . . I ~ ,FT Muni Ins. D Div. M T Buy 3/2( MFT Emerging Markets A Div. K T Buy 7/2 K

3 VK Sector Rotation A Div. K T Bu y 7/2 K

12.

13.

14.

1 5 .

il6.1 7 .


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F IN A N C I A L D IS C L O S U R E R E P O R T N .... f ~ , . . . .. R , p o r ~ , , ~ ) , ~ , o f R , ~ o r ,Page.~ of 8 LEE, TOM $. 5/15/2010V I I I. A D D I T I O N A L I N F O R M A T I O N O 1 1 E X P L A N A T I O N S .

Practically all of my annuities, mutua! fund accounts, stocks andbonds are held in my LPL Financial Account.The proceeds of all sales and redemptions shown in this Report werereceived in that account and all funds for purchases were disbursedfrom that account.


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N a m e o f P e r s o n R e p o r t in g [ D a t e o f R e p o r tI N A N C IA L D I S C L O SU R E R E P O R TI

LEE, TOM S. ] 5/15/2010age,8 of 8I X . C E R T I F I C A T I O N .

I certify tha~ all information given above (including information pertaining |o my spouse and minor Or dependent children, if any) isaccurate, true, and omplete to the best of my knowledge and b elief, and that any information no| reported was withheld becau se it met applicable statuloryprovisions permitting non-disclosure.] further certify that earned income from outside employmeu t and honoraria and the acceptance of gifts which ha ve been reported are incompliance with the provisions of 5 U.S.C. app. .501 eL seq., 5 U.S.C. 73.53, and Judicial Conference regulations.

Si

NOTE: ANY INDIVIDUAL WHO Kq qOW INGLY AND W lLFULLY FALSIFIES OR I~LaxlLS TO FILE THIS REPORT MAY BE SUBJECI" TO CIVILAND CRII~IINAL SAN(SIIONS (5 U.S.C. app, 104)

FILING IlqSTRUCTIONSMail signed original and 3 additional copies to:Committee on Financial DisclosureAdministrative Office office United States CourtsSuite 2-301One Columbus Circle, N.E.W ashington, D.C. 20544

Tom S Lee Financial Disclosure Report for 2009

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