0

POSITION NAME OF ORGANIZATION/ENTITY

PARTIES AND TERMS

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Rt'porl Requirtd by 1hr £1hics FINANCIAL DISCLOSURE REPORT AO'IO in Go'llf!rnmml Ac/ of 1978 Rn.o. 112010 FOR CALENDAR YEAR 2009 (S U.S.C. app. §§JOI-I JI)

.

I. Penun Reportiai: (last name. fim. middle inniol)

Fish. Allen J.

2. Coart or Ori .. w.tloa

United Slates District Court, Northern Districl ofTexas

3. Datt of lltport

OS/I S/2010

4. Tiiie (Anick Ill judges indicalc active or l<'Tlior 1t.t11U; magiitnlC Jud&ci indicalt fvll- or pon-timc:}

United States District Judge (Senior)

!'>L Report Typ< (check opproprialt type)

D Nomination. Dole

D Initial Annual D Final

Sb. D Arnendal R.epon

6. Rcpcutl•& Ptriod

01/01/2009 ID

1213112009

7. Chambm or Olflce Addrna

I I 00 Coir.mcrcc S trect

Suite 1404 Dallas, T cxas 75242

I. Oa ... bull or th• laformalloa coatalnecl 1n tllil llrport a..t any •odlficaU...1 l•ln1tllerrto,11 ls. la Illy oplaloa, ID co111plin« wltb applJcabk laws ud rqulatioDL

Rerinfl•& Oftleer Datt

IMPORTANT NOTES: Tio" ituuactions 11cco.,pa11ying this /on11 Must hrfollawd Comptnull p11ra, cucl<ing th11 NONE box fat' acl1 p1111 whe yo• lrllK no nport1161r inforlfl8tion. Sign an lllSI pagt!.

I. POSIT] 0 N s. (/t.q>onbtz ""'""•'only; m""" '-U of flli11, btstrwaiora.J

[Z] NONE (No reportable posilions.)

I.

2.

3.

4.

s.

II. AGREEMENTS. r1t..,,..n1n1u. .i11 ••1,,,,,r:-""" u-1hfJUlnzlMtr•aiottsJ

0 NONE (No reportable agreements.)

I. 2009 SMU Dedman School of Law - teaching 2009-2010

2.

3.

' '

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.. -· -....

·.. . -

_J ' -

'-..__,

r--

Fish, Allen J.

SQURCE AND ITPE

SOJlRCE AND TYPE

SOURCE WCATJON PURrOSE

INCOME

ITEMS PAID OR PROVIDED

Dak or Rrport Namr of l'rnon Rrpor1in& .FINANCIAL DISCLOSURE REPORT

05/1512010Fisb, Allen J. Page 2of8

III. NON-INVESTMENT INCOME. (Reponin11lllll 11•l11tUJipo .. t;1ttpp. l7-Uo/filinxlMfrwctioru.)

A. Filer's Non-Investment Income

D NONE (No reportable non-investment income.)

(yo=, not spouse's)

1.2009 SMU Dedman School of Law - tcachin,g SS0,000.00

2.

3.

4.

B. Spouse's Non-Investment Income - If,,_ _,.,_rrWi.•rlnz.n;•poroo1111/t11rrqanlnu-r. t:Olllfllr1111tbur:tiort. (Do//o, 01P1oun1 nor y11irrd u«plfor lonnororia.)

D NONE (No reportable non-investment income.)

I. 2009 SL John's Episcopal School-Salary

2.

3.

4.

JV• REIMBURSEMENTS -1nrupormi1>11, IH11/1111,/ootl, mrenai11wim1.

(l11cll«ks thasr kl Sf'OflSt tmdlkpowkn1 chlldrtrr; ltt pp. 2S-27 o/fUing lnsrn.rtions.)

[ZJ NONE (No reportable reimbursements.)

I.

2.

3.

4.

s.

SOURCE I2ESCRIPTION

CREDITOR DESCRIPTION VAWECODE

f'INAN ° CIAL DISCLOSURE REPORT

Page 3of8

N•me or Pmon Rll'}>Ortln&

Fish, Allen J.

Dalt or Rrport

0511512010

V, GIFTS. (lnd1ulu lhau ID 'f1011.U •1111 tkpenlienl cldlllm1; I« pp. 11-JI of Jifint ilutr11ctioftS.)

[Z] NONE (No reportable gifts.)

I.

2.

3.

4.

s.

VI. LIABILITIES. (lncJ•W "'"" l>flipO- .,., tlqcndmt cit ; -pp. Jl-JJ of fllhtz-•r:tl#M.)

QJ NONE (No reportable liabilities.)

I.

2.

3.

"·

s.

-

I

(Q-W) I

A

I l

I I I

I

W•l:aimol:d

Datt •f Rrport Na,.• of P•noa Rrportloz: FINANCIAL DISCLOSURE REPORT OS/I S/2010 Fllh,AllrnJ.Page 4 of8

VII. INVESTMENTS and TRUSTS _ ,,, .. o-, ..,,., lrfltuaCUoltS (/1tc/Mtla lliou Df lfHH'H •"" " ""'' c/Ultln1<; ,., pp. J#-60 "'flling lftlt71tD01tL)

D NONE (No reportable income, assets. or transaclions.)

A. O.Jcription or Asaets

(including tnlll uacts)

Place "(X)" al\cr each llSICI exempt from prior disclO&Ul"C:

B. c. D. lncmnc durin11 Gross value al end Tranuctions during rqionin& period

n:poning pcriocl or rq>orting period

(I) Amount Code I

(A·H)

(2) Type (C.J., div.,rait.

or inL)

(I) Value

Codc2 (J·P)

(2) Value

Method

Codd

(I) Type (e.g., buy. 1cll.

redemption)

(2) Daae

mmiddlyy

(3) Value

Codc2 (J·P)

<•> Gain

ICode I (A·H)

( ) ldmtity of

buycrlscllcr (if private

tranaaction)

I

I. City of Irving. Texas Jr. Lien Texas Sllldium Revenue Bonds

A Interest Redeemed OJ/I SIQ9 J A

2. Texas Federal Credi! Union Accounts, Dallas, TX

A Dividend L T

3. Guardian ln5. &. Ann. Co. deferred annuity

4. -Guardian S1ock Fund A Dividend K T

s. -Centurion Fund A Dividend J T

6. TIAA-CREF dcfc=d annuity

7. -CREF S1ock Fund

8. -TIAA Real Esme Fund

9. -CREF Inflation Linked Bond Fund

10. IRA#I

11. -Vanguanl T01&1 St.ock Mkt Index Fund (VTSMX)

12. -Vanguanl Inflation Protce1cd Securities Fund (VJPSX)

A

A

A

A

A

Dividend

Dividend

Dividend

Dividend

Dividend

J

J

J

K

K

T

T

T

T

T

Buy (add'I)

Sold (part)

10/01/09

10/01/09

J

J

13. IRA#2

14. -Vanguanl Tol&I Stock Mlc1 lndo Fund (VTSMX)

IS. -Vanguard Inflation Protected Securities Fund (VIPSX)

16. IRA113

17. -Vanguard Tol&I Stock Mkt VIPERS (VT!)

A

A

A

Dividend

Dividend

Dividend

J

J

J

T

T

T

Buy (add1)

Sold (part)

Buy (add'I)

10/01/09

10/0J/09

01/01/09

J

J

J

A

I. Income Gain Codes: A-Sl.OOOc.-lelS e -s 1,001 - tuoo C-sl.501 • U.000 D -S5,IJOI • S U.000 E •Sl5.DOI -S5C.OOO

cs..co1-e1 ...SD4> F •S5C.OOI • SI00,000 G -SI00.IJDI • S 1.000.000 Ill -Sl.OOO.OOl -S5.000.000 112 •M'"" - ".000.000 2. Value Codes J -su.ooo"' leas K -SU.DOI· SlD,000 L -S50.001 · S I00,000 M -SI00.001 • S2,0,000

(S.. Col-... Cl ond Dl) Jlol -S250,00I • "00,000 0 •$500.001 • Sl,000.000 Pl -Sl,000,00J. U,000,000 l'2 -S5,llOO.OOI • S25,000.000

I') -S25,000,00J • U0,000,000 P• -M""' - uo.000.000 3. Value MC1hod Codes Q•AppW•I R -c.,.. fl!.col EN'< Only) S•A-..:m T oCnh Marker

1.se.co1 ...... 01 U -Boolr. Val11< V-otherL. I

11 ....

I

I

I I (Q-W)

1

S�-1 I

{2)

{A-H) redemption)

w •Estimdl:d

18. -iSharcs TIPS Bond Fund (TIP) A Dividend J T Sold

(pan) JO/OJ/09 A

19. -iSharcs EAFE Index Trust (EFA) A Dividend J T

20. -Vanguard REIT VIPERS (VNQ) A Dividend J T Buy. (add1)

10/01/09 J

21. -SPDR Select Sector-Energy (XLE) A Dividend J T Buy (add'I)

10/01/09 J

22. -American Centu')' Int'! Bond Fund (BEGBX)

A Dividend J T Sold (part)

J0/01/09 J A

23. -iSharcs ITSE Xinhua O.ina 2S (FXI)

24. -iSharcs Russc:ll IOOO Value Trust (IWD)

25. -iShares Russell 2000 Value Trust (IWN)

26. -iSh&rcs EAFE Value Index Trust (EFV)

A

A

A

A

Dividend

Dividend

Dividend

Di\'idcnd

J

J

J

J

T

T

T

T

Buy (add'I)

Buy (add1)

Sold

(part)

10/01/09

10/02/09

10/01/09

J

J

J A

27. Vanguard Emerging Marl<eu VIPERS (VWO)

A Dividend J T Sold

(part) 10/01/09 J A

28. SPDR Gold Trust Gold Shares (GLD) (X)

29. IRA#4

30. -Vanguard Total Stock MIC! VIPERS (VTI) A

None

Dividend

J

J

T

T

31. -iShara TIPS Bond Fund (TIP) A Dividend J T

32. -iSharcs EAFE Index Trust (EFA) A Dividend J T

33. -Vanguard REIT VIPERS (VNQ) A Dividend J T Buy (add'!)

01/02/09 J

34. -SPDR Select Sector-Energy (XLE) A Dividend J T

f'INANCIAL DISCLOSURE REPORT Page 5 of8

Name or f'enoa Reponlac

Fish, Allen J.

Dair or lleport

OSllS/2010

VII. INVESTMENTS and TRUSTS - i11w-. ... 1.e, lnrnuctioru (/11cl•.ta e 11fSf'OllU •"" " ""'"' chlltlrm; ltt pp. J4-40 •/Jiiin: UulT•ctitnU.)

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

c. D.A. B. Gros. value at c:nd Tnmsactio"" dllrit11 rqx>nin period Income during Dcocription of Auell

rcponing period ofreporting period (including lru$I USCll) I( ) ( )ValueType (e.g., 2 Jden111y orDale Value GainTypc(c.a

{I) (S)(2) (3) (4) Amounl(I) ICode I

f'laa: "(X)" aflcr -h .... , Value

buy,aell buycr/1cllerCode I Code2 MW>Od Codc2mmldd/yy cump1 from prior di1dosurc div rcn

(ifprivall:or inL) (J-P) (A-H}Codc3O·P) -tion)

1.1-GaiaCodc:s; I\ -Sl.000 or le. B-Sl,001 -S2.$00 C -Sl.50 I • U,000 D -S5,DO! • $1$,000 E•Sl5.00I •

I I

(Stt Col -..1 BI or.! 04)

l.VolucCodcs

(Sa: Columm Cl ind Dl)

F-SS0,001. SI00.000

J•SU,Dmmlcoo

N -$230.001 • U00.000 rl -slS.000,001. S5o.ooo.ooo

O-SI00,001 -Sl.000.0llfl

t; -S1'.00l • U0.000 0 -S500,DO! • s 1,000.000

111 -sr .ooo.ocn • ss.000.000

L -S50,DOI • SIOO.OOO

Pl -S 1,000.001 • U.000.000 N -Man: - sso.000.000

112·Mon:11m1 u.000.000

M -s100.001. mo.ooo

ri "15.000,001 • ru.000.000

I

I l. Value Method COiiet O•llppniat R -COii (Real E.slale Only) s-,.,...._,,. T-coshMuUI (Sa: Col..,,. C2J U-Bool;Valuc v -other L

of Jllinx

I

I

------- -B-•Sl,D0l·S2JOO--·--

------ ·-···------

I i

A.

f - ·-·--·-A-Si

,oooodc• C-Sl.501 ·SS.000

s-.-.­

(2)

N•m• or PrnoD Rrporti•& FINANCIAL DISCLOSURE REPORT

Page 6of8 05/15/2010Fish, Allen J.

VII. INVESTMENTS and TR u STS - inCOlff Hlltt, lralfUctiollS (l•d•.,/a thou ofspo1u� •""' " lfUld chUJnlf; SU Pl'- J./-41 i1tSINIClitHU.)

NONE (No reportable income, assets, or transactions.) D c.B. D.

Grau value al end Income during Description of Asscu

(including lrUsl ISiets) Tranuctions during "' poriod

oftqJOrtini.> period rcponing period

(I) (2)Value Value

(I)Type (e.g..

(l)(2)(I)Amount Type: (e.g ..

(3)Value

1•> Dale ldcntiiy or

I Code I buycrl1ellerbuy,&cl mmldd/yy Code2 Codtldiv., rm!, GoinPlace "(X)" aflcr each UICI

CJ<cmpl from prior disclosure

(Q-W)c;:;)2 l (A-H) (if priVllle =!emption) (J·P) (A-H)or inL) transaction)

35. ·iSharu fTSE Xinhua China 25 (FXJ) A Dividend J T

36. Exxon Mobil Common Stock (XOM) A Dividend K T

D -SS.001 • SU.000 Q -SJ00.001 • 51.000.000 HI -Sl.000.001 • ss.000.000 112 -More 1bao ss.000.000 F-SS0.001. SID0.000 (Sa: Columns Bl end 1>4)

2.ValucCoda J•Su.ooo ... 1ca K-SU.001-SSD.OOO L-SSO.tJOl-SI00.000 M -s100,001 • nso.ocu !Sn: Columm Cl lllld DJ) N -Sl,0,001. SS00.000 0 -S"10,00I • Sl,000.000 I -Sl.000.001 • Ss,000.000 n -ss.000.001 • ru.roo.llOO

I') -S2'.000,ll01 • $50.000.000 N -MIR Ihm $30.000.000 3. v,1.,.. Method Codes Q•APJQi>ol R -COii (Real Es!at< Only)

\ .. 1s..eoi....... a1 U-Book Valu< v -<ltbcr W·bt-

FIHANCIAL DISCLOSURE REPORT Page 7of8

Na""' of Prno1 Rrportl•i

Fish, Allen J,

P1u1rRrpon

0511512010

VIII. ADDITIONAL INFORMATION .OR EXPLANA TJONS. r1Mi<d•,,.11<>fllq>6rt.J

I. The itcms reported in paragraph Vll(2) are credit union accounts. Detailed transactional d ata arc not being provided in accordance with the instructions.

2. The additional shares in paragraph VJl(l I) were purchased with proceeds of the panial gale: of shares rcponed in paragraph Vll(l 2).

3. The additional shares in paragraph VIl(14) were purchased with proceeds of the partial sale of shares reported in paragraph Vll(l5).

4. Tile additional shares in paragTilphs Vll(20). (21 ). (24), (25). and (32) were pun:hased with proceeds of the panial ule of shares reported in paragraphs VII( 18). (22), (26), Bild (27).

S. The liability rcponcd in paragraph VJ of the repon dated OS/1512009 was paid with a home equity loan which, in accordance with the instTUctions,is not rcponablc.

FINANCIAL DISCLOSURE REPORT

Page 8 of8

IX. CERTIFICA TJON.

Nam• or P•noD RrponiD& D•lt•fRrpon

Fish, ADen J, OSllS/2010

I certify that aD Information given abovr (lncludlnc Information pen.alnlnr, to my spouse and minor or dependent cblldren, If any) Is accurate, true, and complrtr to the bM of my kn owtedi:• and belief, and that any information not ttported ,.... wltbbtld because It m•t 1ppllcahlr st1tutoty provisions permlttln& non-dlsclolUtt.

I furtbu certify that earned Income from outllde employment and hononrla and the accrpt1ncr of gifts which hlVr been reported are In compllancr with the provisions ofS U.S.C. app. § SOJ et. seq., S U.S.C. § 7353, and Judicial Confucncc rri:ulatlons.

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIRES OR FAILS TO RLE THIS REPORT MA\' BE SUBJECT TO CJ\'IL

AND CRIMINAL SANCTIONS (S U.S.C. app. §UM)

FILING INSTRUCTJONS

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