David J Folsom Financial Disclosure Report for 2009

8/3/2019 David J Folsom Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/david-j-folsom-financial-disclosure-report-for-2009 1/10

R e v . ¢ / 2 0 1 0 FOR CALENDAR YEAR 2009 ( ~ u . s .c , a p p . § § 1 0 1 - 1 1 1 )

1. Per son Repor t ing ( l as t nam e, f i r s t , middle in i t i a l) 2. Cour t or Organizat ion 3. Date of Repor t

Folsom , David J . U S Dis t Ct. , Eas tern T exas 07/08/2010

4. Tit le (Article IlI judges ind icate active or senior status; 5 a . R e p o r t T y p e ( c h e c k a p p r o p r i a t e t y p e ) 6. Repor t ing Per iod

magis t r a l e judges indica te fu l l - or par t - t ime)[ ] N o m i n a t i o n , D a t e 01/01/2009

J udge - -Ac t i v e [] Initial [] Annual [] Final to

12/31/2009

5 b. ~ ] Am e n d e d R e p o r t

7. Chambers or Office Address 8. On the basi s of the Informat ion co ntained in thi s Repor t and anymod i f i ca t ions per t a in ing there to , i t ix , In my opin ion , in com pl i ance

U. S . Cou r thous e & Pos t Off i c e wi th app l i cab le l aws and r egu l a t i o n s .

500 Sta te Line Ave. , Rm 3 09Texarka na, TX 75501

Reviewing Off icer Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed Complete all parts,

checking the NON E box for each part where ),ou have no reportable informatlot~ Sign on last pag~

I . P O S I T IO N S . (Reporting indicidual on15See pp. 9-13 of :aing insvu~io~)

~ NONE ~o reportable positions.)

POSITION NAME OF ORGA~ZATION~NTI~

I. M e m b e r Texarkana ~al League Board

4. 7 : - ~ ~ - "’ "~

FINANCIAL DISCLOSURE REPORT ~,m~ ef P .....R e p o r t i n g Date of R,port

P a g e 2 o f 1 0 ~ o l s o ,~ . D a v i d J . 0 7 / 0 8 / 2 0 1 0

III. N O N - I N V E S T M E N T I N C O M E . ~ R e p o ~ g i ~ i~ ; Z ~ a ~ ~ n S s p o u s e ; s e e p p .

A. Flier’s Non-Investment Income

NONE (No reportable non-investment income.)

DATE SOURCE AND TYPE INCOME(yours , not spouse’s )

B . S p o u s e ’ s N o n - I n v e s tm e n t I n c o m e - if you nwr~ married during an), portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

[ - - - ] NONE (’No reportable non-investment income.)

.DATE. SOURCE AND TYPE

1. 2009 Emp i r e E l ec t ri c Compa ny

IV. REIMBURSEMENTS - , ra ,~port , t io , .(Includes tho.v¢ to spo~e and dependent children; see pp. 25-27 of filing itt~tructions.)

~ NONE (No reportable reimbursements.)

SOURCE ~ LOCATION PURPOSE ITEMS PAID QR pROVIDED

1 . Prac t ic ing Law Ins t i tu te 02128 to 03/04 New Yo rk , NY Ed uca tio n a l a c tivitie s Airfa re , m ea ls , ho te lexc lu s ive o f j ud i c i a l

edu ca t i o n

2. S t a t e Ba r o f Texas 06105 to 06/07 Austin , TX Activity of professional Mi l eag e , mea l s , ho t e la s soc i a t i on o r c iv i co r g an i z a t i o n

3. Sta t e Ba r o f Texa s 06/24 to 06125 Dalla s , TX Sta te B a r o f T exa s Milea g e , m e a ls , ho te l

FINANCIAL DISCLOSURE REPORT S,m, of Person Rtporting D at e o [ R e pot !

of I0 rolsom, D a v i d J . 0 7 / 0 8 / 2 0 1 0

V . G I F T S . a , ,c l u ,~ , h 0 ~ o ~ e o , ,~ e u n a d e p e n d e , , , children; s c e p p . 2 8 - 3 1 of filing instruc~)

N O N E ~ o reportable g~s.)

S O U R C E DESC~PTION ~

V I . L I A B I L I T I E S . a n e s u d e s t h o , e o S , ~ o u ~ o u n d dependent chi ldren; see p p . 3 2 - 3 3 of fi l ing ins tructions . )

NONE (No reportable liabilities.)

C R E D I T O R D E S C R I P T I O N VALUE CODE

F IN A N C I A L D I S C LO S U R E R E P O R T Sa=e alp ....n R e por t i n g Date efRepar,

of 10 F o ~ s o m , D a v i d J . 0 7 / 0 8 / 2 0 1 0

N O N E (No reportable income, assets, or transactions.)

A. B. C. D.

Des c 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 G ro s s va lu e a t e n d T ra n sa c t io n s d u r in g re p o r tin g p o rio d( inc lud ing I rus t a s se t s ) r e p o r t i n g p e r i o d o f r e po r t i ng p e r i od

O) (2 ) ( ~ ) ( ~ ) (1 ) (2) (3) (4) ( 5 )

P l a c e " ( X ) " a f t e r e a c h a s s e t Amount Type (e.g., Va lu e Va lu e T y p e ( e . g . , Date Value . Gain I d en t i t y o f

e x e m p t f r o m p r i o r d i s c lo s u r e Cod¢l 1 d iv . , r en t , Code2 M e th o d bu y , s e ll , m m / d d ! y y Code2 Codel buyer /se l l e r(A-H)

or in t . ) ( J - P ) Code 3 r e d e m p t io n ) ( J-P ) (A-H) ( i f p r i v a t e

(Q -W) t r ansac t ion )

I. Wells Fargo--checking A Interest K T Name change fr

Century Bnk

2. Wells Fargo - - check i n g A Interest K T Name c h a n g e fr

Century Bnk

3. Wells Fargo--certificate of deposit A Interest K T Name change fr

Cenuu ry B n k

4. Commercial National Bank , - 7 ] A Interest Matured 6/3/09 K A

5. C omm e r c i a l Na t i o n a l B a nk , - - "] A In terest Matu red 6/3 /09 K A

6. C o m m e r c i a l Na t io n a l B a n k ~ A Interes t Matu red 6/3 /09 K A

7. Commerc ia l Nat iona l Bank CD’--" ] B Interes t L T B uy 613/09 L

9. , EDWARD JONES (Secu r i t i e s acco unt ) #8

1 0 . Money m ar ke t f und s A Interes t J T

I 1 . Automatic Data Processing A Div id end J T

1 2 . Br oad r i d g e F i n a n c i a l S o l u t i o n s A Dividend J T

1 3 . Eli Lilly & Co A Dividend J T

1 4 . I l l i no i s Too l s Works A Dividend J T

1 5 . Se nn a C o r p A Dividend J T

1 6 . Frank l in Equ i ty Income Fd A Dividend J T

1 7 . Franklin Flex Cap Growth Fd A Dividend J T

I . Income Gain Codes : A -$1 ,O00 o r le ss B = $1 ,001 - $2,500 C = $ 2 , 5 0 1 - S S , 0 O O D =$5,001 - SI5,000 E =$t5,001 - $50,000(See . Columns BI t rod D 4 ) F =$50,001 - $I 00,000 G =$1 00,001 - $1,000,000 HI -$1,000,001 -$5,000,000 It2 =More ~h~m $5.000,000

2. Value lodes J -$ 1 5,000 o r le s t K = $ I 5,001 - $ S O . O 0 0 L "-$50,001 - $ 100,000 M -$ 100,001 - $ 250,000(See Columns CI nnd D3) N ~$250,00 i - $500,000 O =$500,001 - $1,000,000 PI -$ 1.000,001 - $5,000,000 P2 =$ 5,000.001 - $25.000,000

p2t "$25,000,001 - $ 50,000,000 P4 = Mor~ dntn $50,000,0003 . Value Method Codes Q =Appraisal R -Cost (Real Estate Orgy) S =Assessment T "~$h Mm’ket "

(See Column C2) U =Book Value V ~,Other W = E s t i r r a t te d

FINANCIAL DISCLOSURE R E P O R T N a m e o f P e r so n R e p o r t i n g D a t e o f R e p o r t

of ] 0 F o l s om , Dav i d J. 07/08/2010

V I I . I N V E S T M E N T S a n d TRUSTS - i n c o m e , , ,a ~ e , t . . . . . . i o n s (Includes those of spouse and dependent children; see pp. 34-60 of filing instruction.~.)

---] NONE (No reportable income, assets, or transaction.)

A. B. C. D.

D~fip t ion of Asse~ In com e during Gro ss va lue a t e nd T~ ns a c t i o n s d~ ng r c~ i ng ~ f iod( i n c l u d i n g ~ s t a s~ ) re.fling ~ri~ o f r e p o s i n g p e ~

Place "(X)" af i~ each ~set A m o u r T~ (e .g . , Val~e Value T~ (e .g . , D a t ~ Value Gain I d e n t i t y o f

e x e m p t f r o m p r i o r d is c l o s u r e C~1 d i v . , r e n L C~e 2 Meth~ . buy, sell , m ~d ~y y C~e 2 C~e 1 " buyedsel ler

( A - H ) o r i n t . ) (J -P) C~e 3 r e d e m p t i o n ) ( J - P ) ( A - t l ) (if pfvate

(Q-~ ~ a n s a c t i o n )

1 8 . Mutua l Discove ry Fd Clas s A A Dividend J T

1 9 . Frank l in Sm al l Cap Value Fd A Dividend J T

21. Wells Fargo Advisor s (Secur i t i e s Account ) C lo s e d 6/1/09/ N am e c h an g e f r o m

#9 (Acc t c lo s ed ) WACHOVIA

22. Centenn ia l MM Trus t A Interes t Clo s e d 6/I109 J Tran s f e r t o ON Equit y# 1 1

23. OSI P h a r m a c eu t i c a l s None Clo s e d 6/1 /09 J Trans fe r t o ON Equ i ty# 1 1

24. Whole Food Marke t None Clo s e d 6/1 /09 J Tran sfer to ON Equity

25. P u t n am V oy age r F und None Clo s e d 6/1 /09 J Tran sfer t0 O N Equity

27. O N Equity Sa les Co (Secur i t ie s Accou nt) Open 6/I /09 Trans f er f r Wel ls Fargo#11: #9

28. Federated Capi ta l Reserves MM A In te res t J T Bu y 6/1/09 J Transfe r f rWells Fargo#9

29. OSI Ph a rmaceu t i c a l s I n c Co None J T Open 6/1/09 J Trans f er f r Wel ls Fargo#9

30. Whole Foods Market None J T Open 6/1/09 J Trans f er f r Wel ls Fargo#9

31 . The Bond Fund o f Ame r i ca Cla s s C B Interes t K T Bu y 6/1/09 K

32 . Cap i t a l I n c om e B u i l d e r F und C l a s s C B In terest K T B u y 6/1 /09

33 . The I n c om e Fu nd o f Ame r i c a C l a s s C B Interes t K T B u y 6/1 /09 K

34 . Pu tn am Voyage r Fund C la s s A A Dividend J T Open 6/1/09 J Trans f er f r Wel ls Fargo#9

I . I n come Ga i n Cod~ : A -$ 1.000 or lc~s B "$1.001 - $2.500 C =$2.501 - $5.000 D =$ 5.001 - $15,000 E = $15.001 - $50.000

(Se~ Columns B I and D4) F = $ 5 0 . 0 0 1 - $ I [ 3 0 , 0 0 0 G = $ 1 0 0 . 0 O I - $ 1 .0 0 0 . 0 ~ 3 H I -- $ 1 .000 .00 ] - $ 5.000,000 H 2 = Mo r e t h a~ $ 5 .000 .000

2. Va lue Cod es J -$ 15.000 or less K =$15.001 - $50.0~) L =$50,001 - $100.000 M = $100.001 - $250,000

(See Columns CI and D3) N ~$250,001 - $ 500,000 O ~ $ 5 0 0 , 0 0 1 - $ 1 , 0 ~ 0 , 0 (X 3 P 1 = $1 ,000,001 - $ 5.000,000 P 2 ~ $5 ,000 ,001 - $25.000,000

P3 =$25,000,001 - $50,000,0~0 P 4 = M o r ~ t J ~ a n $ 5 0 .0 0 0 , 0 ~ 0

3 . Value Method Codes Q -Appt’aisal R .,4~ost (Real Es tate Only) S = Assessm en t T ~._atsh Marke t

(See Column C2) U -Book Value V -4) ther W =Estimated

N am e o f Per s on R ep or ting Da te ~ f R ep ort

PagcFINANCIAL6 of 10 DISCLOSURE REPORT r n l s o m , D a v i d J . 07/08/2010

V I I . I N V E S T M E N T S a n d T R U S T S - ~ . c o , ~ . . value, t ...... tions (Includes those of spouse and dependent children; xee )~p. 34-60 of fiting instructions.)

NONE (No reportable income, assets, or transactions.)

A. B. C. D.

Des c r i p t i o n o f Ame t s I n c o m e d u r i n g Gro s s va l ue a t e n d T r a n s a c t i o n s d u r i n g r c p o r t i n g p e r i o d( i n c l ud 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 o f r e p o n l n g p e r i o d

(1) (2) (1) (2) (1 ) (2) (3) (4) (5)

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 . , Va lu e Va lu e T y p e ( e . g , , Da t e Value Gain I d e n t i t y o f

e x e m p t f ro m p r i o r d i s c lo s u r e C o d e I d Jv., r e n t , Co d e 2 Me tho d buy , se l l , m n ’ d d d / ) ~ Code 2 . Code 1 buyer /s el l er(A-It) or in t . ) ( J - P ) code 3 r e d e m p t i o n ) ( J - P ) (A-H) ( i f p dva t e

(Q-W) t r an s a c t i on )

36 . Ohio Nat ional F inanc ia l Serv ices Annu i ty A In te res t Distr ibuted 1/09/09 L Trans fe r to Genwor thFin

38 . Genw or th Financ ia l (Annu i ty) - - t r ans f er r ed B Iat . /Div. L T Open 1 1 0 9 1 0 9 L Transfe r f r Ohio Natlf r Ohio Natl Fincl Fin

40. Ohio Na t iona l F inanc i a l Se rv ic e s Annu i ty Clo s e d 1/2,’09 L Transfe r to Ohio Ann#1 2

4 2. The Ohio Na t iona l L i fe In su ranc e Co D ln t . /Div. M T Open 1/2/09 M Transfe r f r Ohio Nat lAnnui ty # 12 Fin

4 4. SEP/ INDIVIDUAL RETIREMENTACCOUNTS :

4 5. Amer ican Funds (SEP / IRA) None Clo s e d 1/2/09 M Transfe r to Ohio Ann#1 2

4 6. C a s h Ma n a g e me n t T r u s t o f Ame r i c a None Clo s e d 1/2/09 J Transfe r to Ohio Ann#1 2

4 8. MERRILL LYNCII (SEP/ IRA): No . 3 :

4 9. ML Re t i remen t Money Fund A Div idend J T

5 0. AI M Con stel la ti on Fun d A Dividend J T

I . Income G~n Code~: A "$1.000 or less B ~51,00t - $2,500 (2 =$2.501 - $5,000 D =$$,00! - $15.000 E , ~ ’ $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0( See Co l umns B I and IM) V -$50,001 - 5|00,000 G -$ 100,0OI - $1 ,000, 000 HI ~$ 1,000,001 - $5, 000, 1~0 H2 -More than

2. Value Cod~ J -515,0~0 or le~ K =$ I S,001 - 550,000 L =$50,001 - $1 00,000 M ~$ I 0~,001 - $250,000(gee Columes CI ~od D3) N ~$250,001 - $500,000 O -$ 500.001 - $ 1,000,000 PI ~-$ 1,000,001 - $5,0~0,000 P2 "$5,000,001 - $25,00~,000

P3 ~$25,0~0,001 - 550,000,000 [’4 ~M~e th~tri $ $0,000,0003 . Vsl t~ Method Codes Q -Appraisal K ~Cos! (R.ell Est~t~ On]},) S ~ P , ~ s r :~ s m e a t T -Cash Market

(See Colum t~ C2) U -Book Va lue V =Othe r W ~Estimntcd

N a m e of Peru3n Reporting D a t e o f R ep o r t

P a g e F I N A N C I A L 7 o f 1 0 D I S C L O S U R E R E P O R T ] Volsom, D a v i d J . 0 7 / 0 8 / 2 0 1 0

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 , v ~ t ~ e , ~ a . ~ c t ~ o , ~ a ~ a u a e s t s o s e o / ~ , . . . . . a dependent chi ldren; see p p . 3 4 - 6 0 off cling instructions.)

A. B. C. D.

Des c 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 Gro s s va l ue a t e n d T r a n 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

( i n c lu d h a 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 f r e p o r t i n g p e r i o d

(1) (2) (|) (2) ( I ) (2) (3) (4) ( 5 )

Place "(X)" after each asset Amount Type (e.g., Va lu e Va lu e T y p e ( e . g . , Date Valu e G l ~ i n Id~tity of

e x e m p t f ro m p r i o r d i s c lo s u r e Code 1 [ div., rent, Co d e 2 M e th o d bu y . s e ll , . m m / d d / y y Code 2 C o d e I buyer /s el l er

(A-H) ~o~ int.) ( J-P ) Co d e 3 r e d e m p t io n ) ( J- P ) (A-H) ( i f p r i v a t e

(Q -W) t r an s a c t i on )

52 . MERRILL LYNCH (SEP/IRA) No. 4:

53 . MLCash a ccoun t A Dividend K T

5 4. Fede r a INa t l MtgAssn A in ter es t J T

55 . PMC Sierra Inc None K T

57 . Wells Fargo #10: Namechange fr

Wachovia

58. Cash account A Dividend J T

59. Goldman S ach s G r oup A Dividend J T

6 1 . FLOYD CAPITAL MGMT-Schwab

(SEP/IRA): #7:

6 2. Schwab U S Treasury Money Fund B Interest N T

63 . Loo m is Sa y lc s B on d CI 1 No ne So ld 2/27/09 L B

1 . In come Ga in Codes : A = $1 .000 o r les s B =$1 .001 - $2,500 C -$2J01 - $5.~ D ~5.~1 - $15.~ E =11 5,~1 - $50,~0

3. Value Me~ C ~¢s Q-Ap~i~l g ~t (Real Es~ ~ly} S ~Asse~ment T ~a~ Manet

Iame of Person Reporting D a t e o f R ep o r tFINANCIAL D I S C L O S U R E REPORT

] Folsom. David J.

P a g e 8 o f 1 0 0 7 / 0 8 / 2 0 1 0

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 m e , ,’alue, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fiting instructions.)

Des c 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 Gro s s va l ue a t e n d T r a n 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

( i n c l u d~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 o f r e p o r t i n g p e r i o d

(1) (2) (l) (2) ( I ) (2) (3) (4) ( 5 )

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 Type (e.g., Valu e Va l u e T)T~e (e .g . , Da t e Value Gain I d e n t i t y o f

e x e m p t f r o m p r i o r d i s c t o s t t r e C o d e 1 d iv . , r e n t , Co d e 2 M e tho d bu y . se ll , m m / d d / y y Code 2 . Code 1 buyer /s el l er

(A-H) or in t . ) ( J -P ) Co d e 3 re d e m p tio n ) (J-P) . (A-It) ( i f p r iva te

(Q -W) t r ans ac t i on

Name of Person Reporting D a t e o f R e p o r tFINANCIAL DISCLOSUREREPORT

! Fo l s om , D av i d J .a g e 9 o f 1 0 o 7 ~ o 8 / 2 O l O

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

FINANCIAL DISCLOSURE R E P O R T N~m~ o f P e r s o n R e p o r t i n g D.te ~fReport

of 10 Folsom, D a v i d a . 0 7 / 0 8 / 2 0 1 0

I X . C E R T I FI C AT I O N .

1 c e r t i fy t h a t a l l I n f o r m a t i o n g i v e n a b o v e ( in 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 re n , i f a n y ) I sa c c u r a t e , tr 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 y 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 he l d b e c a u s e i t m e t a p p l i c a bl e s t a t u to r y

p r o v i s io 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 th e r c e r ti f 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 w h i c h h a v e be e n r e p o r t e d a r e i nc om p l i a n c e ~ t h t h e p r ov i s i o n s o f 5 U .S .C . a pp . § 501 e t . s e q . , 5 U .S .C . § 735 3 , a nd 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 .

NOTE: ANY INDIVIDUAL WItO KNOW INGLY" AND WILFULLY FALSIFIES OR FALLS TO FILE THIS REPORT M AY BE SUB JECT TO CIVILAND CRIMINAL SANCTIONS ( 5 U .S .C . a pp . § 104 )

FILING INSTRUCTIONS

M a i l s i g n e d o r i g i n a l a n d 3 a d d i t io n a l c o p i e s t o :

C o m m i t te e o n F in a n c i a l D i s c lo s u r eA d m in i s t r a t iv e O f f i c e o f t h e Un i t e d S t a t e s Co u r t sS u i t e 2 - 3 0 1One Columbus Circle, N.E.Wash i n g t o n , D .C . 2054 4

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